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Advisor at LPL FINANCIAL LLC
NIAGARA FALLS, NY | ERIE, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Jul 10, 2025 | n/a | yes | ERIE, PA|NIAGARA FALLS, NY | Current employment |
| CADARET GRANT & CO INC | Former SEC adviser | Feb 1, 2022 | Jul 10, 2025 | no | NIAGARA FALLS, NY|Erie, PA | Previous registration |
| 1ST DISCOUNT BROKERAGE, INC. | Independent wealth | Jul 20, 2009 | Aug 30, 2010 | no | LAKE WORTH, FL|AMHERST, NY | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Dec 21, 2007 | Jul 7, 2009 | no | AMHERST, NY|LANCASTER, NY|FORT MILL, SC | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Nov 30, 2007 | Jan 3, 2008 | no | BUFFALO, NY|TONAWANDA, NY|NIAGARA FALLS, NY|AMHERST, NY|LOCKPORT, NY|LOCKPORT, NY|TONAWANDA, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CADARET GRANT & CO INC | LPL FINANCIAL LLC | Jul 10, 2025 | Jul 10, 2025 | 0 | Bulk transfer | Ibd to ibd |
| 1ST DISCOUNT BROKERAGE, INC. | CADARET GRANT & CO INC | Aug 30, 2010 | Feb 1, 2022 | 4,173 | Firm change after gap | Other |
| LPL FINANCIAL LLC | 1ST DISCOUNT BROKERAGE, INC. | Jul 7, 2009 | Jul 20, 2009 | 13 | Firm change | Other |
| HSBC SECURITIES (USA) INC. | LPL FINANCIAL LLC | Jan 3, 2008 | Dec 21, 2007 | -13 | Firm change | Other |