Joseph Metro Topichak

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
OK	RA	APPROVED	2018-02-14
PA	RA	APPROVED	2018-02-14
TX	RA	APPROVED_RES	2018-02-14

NY RA
APPROVED

Since 2021-08-03
OK RA
APPROVED

Since 2018-02-14
PA RA
APPROVED

Since 2018-02-14
TX RA
APPROVED_RES

Since 2018-02-14

Branch Locations

151 Main St, Penn Yan, NY 14527 • United States

109 S Main Street, Naples, NY 14512 • United States

23 Commercial Street, Livonia, NY 14487 • United States

2149 Granc Central Ave, Horseheads, NY 14845 • United States

401 North Franklin Street, Watkins Glen, NY 14830 • United States

272 Lake St Plaza, Penn Yan, NY 14527 • United States

8 Liberty St, Bath, NY 14840 • United States

300 West Water St, Elmira, NY 14901 • United States

11 Tuscarora St, Addison, NY 14801 • United States

150 W Market St, Corning, NY 14830 • United States

830 County Rd 64, Elmira, NY 14903 • United States

41 East River Road, Nichols, NY 13812 • United States

1 Steuben Square, Hornell, NY 14843 • 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

Organization	City	State	From	To
Community Bank, Na	Corning	NY	12/2012	Present
Invest Financial Corp.	Tampa	FL	01/2013	02/2018
Lpl Financial Llc	Elmira	NY	02/2018	Present

12/2012 → Present

Community Bank, Na

Corning, NY
01/2013 → 02/2018

Invest Financial Corp.

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Elmira, NY

Previous Registrations

2014-08-27 → 2018-02-21

Invest Financial Corporation

North Corning, NY

Painted Post, NY

Addison, NY

Corning, NY

Woodhull, NY

Bath, NY

Hammondsport, NY

Elmira, NY

Ithaca, NY

Elmira, NY

Watkins Glen, NY

Appleton, WI

Penn Yan, NY

Penn Yan, NY

Other Businesses

1. 02/14/2018 - COMMUNITY INVESTMENTS INSURANCE - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/2013 - 2 Hours Per Month. 2. 02/14/2018 - Community Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 04/04/2025 - Nottingham Investment Services, Inc. - Investment Related - DBA for LPL Business (entity for LPL business) - None - Start Date:3/31/2025 - 0 Hrs/Mth - 0 Hrs During Trading. 4. 01/16/2026 - Live Like Levi Foundation - Non-Profit Board Member - Advisory Board Member - Not Investment Related - Shippensburg, PA - Start Date 12/30/2025 - 1 hour per month/ 0 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-08-26
S63	Uniform Securities Agent State Law Examination	2009-08-11

S65 Uniform Investment Adviser Law Examination

2014-08-26
S63 Uniform Securities Agent State Law Examination

2009-08-11

Other Names

Joe Topichak
Joseph M Topichak

View on SEC IAPD