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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
TX RA APPROVED_RES 2015-08-22
NJ RA APPROVED 2008-03-04
  • NY RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED_RES
    Since 2015-08-22
  • NJ RA
    APPROVED
    Since 2008-03-04

Branch Locations

44 West Route 59, Nanuet, NY 10954 • United States

26 North Middletown Road, Pearl River, NY 10965 • United States

1 Lake Rd West #1, Congers, NY 10920 • United States

179 S Main St, New City, NY 10956 • United States

70 Canal Street, Ellenville, NY 12428 • United States

61 Paramus Road Ste 116, Paramus, NJ 07652 • United States

Clifton, NJ • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Nanuet NY 03/2008 Present
Webster Bank Nanuet NY 09/2021 Present
  • 03/2008 → Present
    Nanuet, NY
  • 09/2021 → Present
    Webster Bank
    Nanuet, NY
Previous Registrations
Other Businesses

1. 09/03/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date: 09/03/2021. 2. 10/30/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-06-29
  • S66 Uniform Combined State Law Examination
    1998-06-29
Other Names
  • Fjeffrey Hahofer

View on SEC IAPD

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