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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-11 |
Branch Locations
520 Lee Entrance N Campus Ste 101A , Buffalo, NY 14202 • United States
598 Main St, Buffalo, NY 14202 • United States
4375 Transit Rd, Williamsville, NY 14221 • United States
3155 Niagara Falls Blvd, Amherst, NY 14228 • United States
4 Winners Circle, Albany, NY 12205 • United States
Niagara Falls, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Colton Rv | North Tonawanda | NY | 01/2016 | 11/2017 |
| Citizens Securities Inc. | Syracuse | NY | 12/2017 | 08/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Buffalo | NY | 09/2020 | 01/2022 |
| Bank Of America, N.A. | Buffalo | NY | 12/2020 | 01/2022 |
| Securities America, Inc | Amherst | NY | 01/2022 | 05/2023 |
| Securities America Advisors | Amherst | NY | 01/2022 | 05/2023 |
| Massmutual Life Insurance Co. | Amherst | NY | 06/2023 | 05/2026 |
| Mml Investors Services, Llc | Amherst | NY | 07/2023 | 05/2026 |
| Stoneworks Wny | Lewiston | NY | 05/2023 | 06/2023 |
| Lpl Financial | Albany | NY | 06/2026 | Present |
| Broadview Federal Credit Union | Albany | NY | 06/2026 | Present |
1. “Investment products and services are offered through LPL Financial LLC using the DBA/trade name Broadview Wealth Management - Inv Rel - At Reported Business Location (s) - 06/2026” 2. 06/2026 - Notary - Notary - Investment related - Niagara Falls NY 14304 - 01 Hrs/Mth - 00 Hrs During Trading - OBA start date: 12/26/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2018-04-02 |
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