Kim M Emperato

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

NY RA
APPROVED

Since 2021-08-03

Branch Locations

2 North St., Jordan, NY 13080 • United States

2433 State Route 414, Waterloo, NY 13165 • United States

311 Grant Avenue Road, Auburn, NY 13021 • United States

63 Genesee Street, Auburn, NY 13021 • 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
Daniel R. Cuddy, Cpa	Auburn	NY	01/2002	05/2018
H.D. Vest Investment Services	Auburn	NY	06/2010	05/2018
H.D. Vest Advisory Services	Auburn	NY	07/2011	05/2018
Lpl Financial, Llc	Auburn	NY	05/2018	Present
Lyons National Bank	Auburn	NY	05/2018	Present

01/2002 → 05/2018

Daniel R. Cuddy, Cpa

Auburn, NY
06/2010 → 05/2018

H.D. Vest Investment Services

Auburn, NY
07/2011 → 05/2018

H.D. Vest Advisory Services

Auburn, NY
05/2018 → Present

Lpl Financial, Llc

Auburn, NY
05/2018 → Present

Lyons National Bank

Auburn, NY

Other Businesses

1. 5/18/2018 - No Business Name - Investment Related - Home Based - Other-Notary - Started 12/17/1997 - 1 Hour Per Month During Securities Trading - Time Spent 1%. 2. 5/18/2018 - LNB Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 09/24/2025 - Advocates Incorporated - Outside/W-2 Employment - Fayetteville, NY - Not iNv Rel - Start date: 09/10/2025 - 8 hrs/mnth 0 hrs during Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-10-07

S63 Uniform Securities Agent State Law Examination

2010-10-07

View on SEC IAPD