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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-06-09 |
| NJ | RA | APPROVED | 2021-06-09 |
| NY | RA | APPROVED | 2021-06-09 |
Branch Locations
470 Park Ave South, New York, NY 10016 • United States
125 Wolf Rd, Albany, NY 12205 • United States
379 Ramapo Valley Road, Oakland, NJ 07436 • United States
745 Route 17M, Suite 101, Monroe, NY 10950 • United States
5075 Route 9W, Newburgh, NY 12550 • United States
11 W 42Nd St, New York, NY 10036 • United States
240 Dolson Avenue, Middletown, NY 10940 • United States
1030 Jackson Ave, Long Island City, NY 11101 • United States
7807 Fifth Ave., Brooklyn, NY 11209 • United States
184 Sterling Place, Brooklyn, NY 11217 • United States
715 River Rd, New Milford, NJ 07646 • United States
2664 Atlantic Ave., Brooklyn, NY 11207 • United States
101-25 Queens Blvd, Forest Hills, NY 11375 • United States
Flemington, NJ • United States
45 Eisenhower Dr Ste 400, Paramus, NJ 07652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities | Buffalo | NY | 04/2013 | 06/2021 |
| Lpl Financial Llc | Paramus | NJ | 06/2021 | Present |
AS OF 5/6/2013 RECEIVING RESIDUALS FROM PAST SALES, PRIMARILY GROUP HEALTH INSURANCE, PAID TO MY LLC MULVANEY GROUP THAT I HAVE HAD FOR MANY YEARS. APPROX. $2000.00
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-07 |
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