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Brett Howard Macbain

LPl Financial LLC

Eatontown, 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 2021-04-08
  • NJ RA
    APPROVED
    Since 2021-04-08

Branch Locations

2 Industrial Way W Ste 202A, Eatontown, NJ 07724 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Bank, Na Boston MA 03/2001 04/2021
Santander Securities, Llc Dorchester MA 09/2012 04/2021
Lpl Financial, Llc Eatontown NJ 04/2021 Present
Previous Registrations
  • 2014-01-09 → 2021-04-09
    Belmar, NJ
    Neptune, NJ
    Asbury Park, NJ
    West Long Branch, NJ
    Long Branch, NJ
    Toms River, NJ
    Short Hills, NJ
    Oakhurst, NJ
    West Long Branch, NJ
    Toms River, NJ
    Scotch Plains, NJ
    Villanova, PA
    Cherry Hill, NJ
    West Long Branch, NJ
    Brick, NJ
    Brick, NJ
    Villanova, PA
    Wall, NJ
Other Businesses

1. 4/8/2021 - LOYALTY WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 4/8/2021 - GLADSTONE WEALTH PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 4/8/2021 - BOOK BROKERS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - 2 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-07
S63 Uniform Securities Agent State Law Examination 2002-10-02
  • S65 Uniform Investment Adviser Law Examination
    2014-01-07
  • S63 Uniform Securities Agent State Law Examination
    2002-10-02

View on SEC IAPD

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