Iliza Schmertz Bartels

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
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED_RES	2015-07-10

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2015-07-10

Branch Locations

404 Glen Cove Ave Ste 100, Sea Cliff, NY 11579-2107 • United States

Sea Cliff, 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

Organization	City	State	From	To
Lpl Financial Llc	Sea Cliff	NY	07/2013	Present

07/2013 → Present

Lpl Financial Llc

Sea Cliff, NY

Other Businesses

(1) 10/27/2014: Shelter Rock Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 404 GLEN COVE AVE., STE 100, SEA CLIFF, NY 11579 - Start 03/03/2014 - 160 Hr/Mo; 120 Hour(s) During Securities Trading - Financial Advisory Services.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-01-22

S66 Uniform Combined State Law Examination

2002-01-22

Other Names

Jennifer Clarke Schmertz

View on SEC IAPD