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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-07-10
TX RA APPROVED_RES 2025-07-10
  • NY RA
    APPROVED
    Since 2025-07-10
  • TX RA
    APPROVED_RES
    Since 2025-07-10

Branch Locations

331 Water Street, Binghamton, NY 13901 • United States

Montrose, PA • 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
Cadaret, Grant & Co., Inc. Binghamton NY 02/2003 07/2025
Kevin J. Duke Financial Services Binghamton NY 03/2007 Present
Lpl Financial Llc Binghamton NY 07/2025 Present
  • 02/2003 → 07/2025
    Cadaret, Grant & Co., Inc.
    Binghamton, NY
  • 03/2007 → Present
    Kevin J. Duke Financial Services
    Binghamton, NY
  • 07/2025 → Present
    Binghamton, NY
Previous Registrations
  • 2019-01-04 → 2025-07-10
    Cadaret, Grant & Co., Inc.
    Binghamton, NY
    Binghamton, NY
    Binghamton, NY
    Syracuse, NY
    Syracuse, NY
    Syracuse, NY
    Syracuse, NY
    Syracuse, NY
Other Businesses

1- 07/2025 - Duke Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/09/2020 - 200 hours per month/ 120 hours during trading 2- 07/2025 - Kevin J Duke Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2025 - 180 hours per month/ 100 hours during trading 3- 07/2025 - Real Estate Rental - Investment Related - Montrose, PA - Start Date 08/18/2005 - 1 hour per month/ 0 hours during trading 4- 07/2025 - Kevin J Duke Financial Services - Non-Variable Insurance - Rep - Investment Related - At Reported Business Location(s) - Start Date 03/10/2005 - 0 hours per month/ 0 hours during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-25
  • S63 Uniform Securities Agent State Law Examination
    1986-03-25

View on SEC IAPD

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