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Nicholas Pontoriero

LPl Financial LLC

Edison, NJ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2006-12-15
  • NJ RA
    APPROVED
    Since 2006-12-15

Branch Locations

3 Progress St Suite 105A, Edison, NJ 08820 • 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
Linsco Private Ledger Edison NJ 12/2006 Present
  • 12/2006 → Present
    Linsco Private Ledger
    Edison, NJ
Previous Registrations
  • 2002-06-19 → 2006-12-19
    Morgan Stanley Dw Inc.
    Short Hills, NJ
    Warren, NJ
Other Businesses

1. 4/14/2006 - DBA ONLY - LIBERTY GLOBAL WEALTH MANAGEMENT, LLC. 2. 11/27/2006 - DBA ONLY - LIBERTY GLOBAL WEALTH MANAGEMENT, INC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-27
S63 Uniform Securities Agent State Law Examination 1998-02-06
  • S65 Uniform Investment Adviser Law Examination
    1998-02-27
  • S63 Uniform Securities Agent State Law Examination
    1998-02-06

View on SEC IAPD

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