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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-05-01 |
Branch Locations
150 White Plains Rd Ste 205, Tarrytown, NY 10591 • United States
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 |
|---|---|---|---|---|
| Crown Capital Securities | Orange | CA | 12/2002 | 05/2024 |
| Lpl Financial Llc | Tarrytown | NY | 05/2024 | Present |
(1) 05/01/2024 - Non-Variable Insurance Commission Trails - Non-Variable Insurance Trails Only - Investment Related - At Reported Business Location(s) - Start Date 07/01/2001 - 2 Hours Per Month (2) 05/01/2024 - Ronald Pompei - Tax Prep - Tax Preparer - Investment Related - At Reported Business Location(s) - Start Date 01/01/2016 - 10 Hours Per Month (3) 05/01/2024 - Ronald Pompei Jr - Artist/Musician - Musician - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2022 - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-01-15 |
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