Peter Stephen Vanderkley

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

Authority	Category	Status	Date
DE	RA	APPROVED	2010-04-13

DE RA
APPROVED

Since 2010-04-13

Branch Locations

Newark, DE • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Newark	DE	04/2010	Present

04/2010 → Present

Lpl Financial

Newark, DE

Previous Registrations

2009-06-01 → 2010-04-16

Morgan Stanley

Elkton, MD

Greenville, DE
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Elkton, MD

Wilmington, DE
2001-02-26 → 2007-04-02

Morgan Stanley Dw Inc.

Newark, DE

Wilmington, DE

Newark, DE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-01-22

S66 Uniform Combined State Law Examination

2001-01-22

Other Names

Peter S Vanderkley

View on SEC IAPD