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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2020-02-25 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capcom Financial Services Inc. | Latham | NY | 01/1999 | 03/2023 |
| Lpl Financial Llc | Albany | NY | 02/1999 | Present |
| Broadview Wealth Management | Albany | NY | 04/2023 | Present |
1. 12/13/2001 - NON-VARIABLE INSURANCE - INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS ONLY - ALBANY, NY. 2. 01/28/2008 - OTHER-NOTARY - NOTARY PUBLIC - NOT INVESTMENT RELATED - 1% OF TIME - ALBANY, NY. 3. 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023 4. 11/17/2023 - Broadview Wealth Management - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 11/06/2023 - 80 Hours per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-15 |
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