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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
NJ RA APPROVED 2017-11-29
  • NY RA
    APPROVED
    Since 2021-08-03
  • NJ RA
    APPROVED
    Since 2017-11-29

Branch Locations

70 Floral Ave, New Providence, NJ 07974 • United States

26 Watchogue Road, Staten Island, NY 10314 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
National Planning Corporation Staten Island NY 08/2012 11/2017
Lpl Financial Llc New Providence NJ 11/2017 Present
  • 08/2012 → 11/2017
    National Planning Corporation
    Staten Island, NY
  • 11/2017 → Present
    New Providence, NJ
Previous Registrations
  • 2013-10-08 → 2017-12-01
    National Planning Corporation
    Manahawkin, NJ
    Staten Island, NY
    Murray Hill, NJ
    Staten Island, NY
    Newburgh, NY
    Los Angeles, CA
Other Businesses

1. 11/29/2017 - Falbo Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Assistant - Start Date 2/1/2013 - 80 Hours Per Month / 60 Hours During Trading - 60% Time Spent - Works for Joseph Falbo and helps his clients as it pertains to service request; Paperwork & Presentation. 2. 11/29/2017 - Inspire Investment Solutions LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date 08/01/2011 - 140 Hours Per Month / 120 Hours During Trading. 3. 11/29/2017 - Barbera & Barbera CPAs - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 3/1/2015 - 3 Hours Per Month / 0 Hours During Trading - Tax work during tax season. 4. 4/23/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/01/2019 - 1 Hour Per Month During Securities Trading. 5. 10/13/2023 - Lotus Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/06/2023 - 1 Hour Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-04
S66 Uniform Combined State Law Examination 2001-06-02
  • S65 Uniform Investment Adviser Law Examination
    2013-10-04
  • S66 Uniform Combined State Law Examination
    2001-06-02
Other Names
  • Michael Anicito
  • Michael A Anicito

View on SEC IAPD

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