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360 Delaware Avenue Suite 400, Buffalo, NY 14202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-16 |
Branch Locations
360 Delaware Avenue Suite 400, Buffalo, NY 14202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Buffalo | NY | 11/2007 | 02/2018 |
| Sterling Investment Counsel, Llc | Buffalo | NY | 03/2016 | Present |
| Lpl Financial Llc | Buffalo | NY | 02/2018 | Present |
1. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - LICENSED AGENT - Term, universal life, fixed annuities, LTC, disability. 2. 02/14/2018 - JENSEN, MARKS, LANGER, AND VANCE COMPREHENSIVE WEALTH PLANNING LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 3/12/2018 - JENSEN, MARKS, LANGER, AND VANCE LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 4/9/2018 - STERLING INVESTMENT COUNSEL LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 80 Hours Per Month During Securities Trading - Time Spent 50% - I provide investment advisory services through STERLING INVESTMENT COUNSEL LLC, an independent investment advisor firm. I started this business activity in 01/2018. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 8/2/2018 - JMLV Wealth Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/14/2006 - 200 Hours Per Month/6 Hours During Securities Trading. 6. 8/3/2018 - Specific Solutions - Investment Related - 475 International, Williamsville, NY 14221 - Non-Variable Insurance - Start Date: 04/03/2000 - 10 Hours Per Month/10 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-19 |
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