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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-10 |
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Somers | NY | 09/2005 | 11/2021 |
| Lpl Financial Llc | Katonah | NY | 11/2021 | Present |
1)10/28/2021 - TABULA RASSA, LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Somers, NY - Start: 11/2021 2) 10/28/2022 - TNBC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Representative - Start Date: 09/01/2022 - 2 Hours Per Month/2 Hours During Securities Trading. 3) 4/6/2023 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Representative - Start Date - 04/06/2023 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1990-11-02 |
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