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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-10-08
  • NY RA
    APPROVED
    Since 2025-10-08

Branch Locations

69 State Street, Suite 1200C, Albany, NY 12207 • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

69 State Street, Suite 1200C, Albany, NY 12207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Albany NY 06/2023 10/2025
United States Army Latham NY 10/2020 Present
Self Employed Chatham NY 06/2019 10/2020
Concordia College-Ny Bronxville NY 08/2015 06/2019
Lpl Financial Llc Albany NY 10/2025 Present
  • 06/2023 → 10/2025
    Albany, NY
  • 10/2020 → Present
    United States Army
    Latham, NY
  • 06/2019 → 10/2020
    Self Employed
    Chatham, NY
  • 08/2015 → 06/2019
    Concordia College-Ny
    Bronxville, NY
  • 10/2025 → Present
    Albany, NY
Previous Registrations
Other Businesses

1) 09/25/2025- New York Army National Guard - Chief Warrant Officer 2. / Outside/W-2 Employment- Non-Inv. Related- Latham NY- start date 10/10/2020- 20hrs/mth - 0hrs during trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-01
  • S66 Uniform Combined State Law Examination
    2024-07-01

View on SEC IAPD

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