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Anthony M Tringali

LPl Financial LLC

North Salem, NY

CRD 1905128

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
CT RA APPROVED 2020-10-29
  • NY RA
    APPROVED
    Since 2021-08-03
  • CT RA
    APPROVED
    Since 2020-10-29

Branch Locations

North Salem, NY • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated White Plains NY 01/2012 10/2020
Bank Of America, N.A. White Plains NY 02/2012 10/2020
Lpl Financial, Llc Mahopac NY 10/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-06-05
  • S66 Uniform Combined State Law Examination
    2000-06-05

View on SEC IAPD

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