Peter Richard Niemczyk

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
NC	RA	APPROVED	2007-10-10
TX	RA	APPROVED	2007-10-10

NC RA
APPROVED

Since 2007-10-10
TX RA
APPROVED

Since 2007-10-10

Branch Locations

Fletcher, NC • 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

Organization	City	State	From	To
Linsco/Private Ledger Corp.	Southport	NC	09/2007	Present

09/2007 → Present

Linsco/Private Ledger Corp.

Southport, NC

Previous Registrations

2004-12-03 → 2007-10-15

A. G. Edwards & Sons, Inc.

Southport, NC

Southport, NC

Other Businesses

1. 6/8/2020 - Peter Niemczyk, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 1/1/2019 - 1 Hour Per Month/0 Hours During Securities Trading - LPL 1099 income reported for tax purposes only.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-02

S66 Uniform Combined State Law Examination

2004-12-02

View on SEC IAPD