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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2015-10-05 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Rochester | NY | 02/1999 | Present |
| Esl Investment Services, Llc | Rochester | NY | 01/1997 | Present |
| Esl Federal Credit Union | Rochester | NY | 03/2015 | Present |
1. 5/6/2015: ESL Federal Credit Union - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Started 03/23/2015 - 80 Hours Per Month/4 Hours During Securities Trading - SVP, Director of Wealth Management. 2. 11/02/2022 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - President & COO - Start Date: 07/01/2006 - 40 Hours Per Month/2 Hours During Securities Trading. 3. 3/2/2023 - ESL Investment Services, LLC - Not Investment Related - At Reported Business Location(s) - LPBD - Sub-licensee - Start Date - 08/08/2014 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-22 |
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