Maria Mauceli

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2007 → 04/2019
  Fsc Securities Corporation
  Middle Village, NY
• 04/2019 → Present
  Lpl Financial Llc
  Melville, NY

Other Businesses

1. 4/1/2019 - No Business Name - Investment Related - Home Based - Tax Prep/Accounting/CPA - Tax Preparer - Started 01/2015 - 2 Hours Per Month/0 Hours During Securities Trading - Tax Prep Services. 2. 4/1/2019 - No Business Name - Investment Related - Glendale NY 11385 - Real Estate Rental - Started 2009 - Time Spent 0% - No other role other than half owner. 3. 10/28/2020 - FIS Marketing LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/09/2020 - 2 Hours Per Month During Securities Trading - 2 Hours Per Month/0 Hours During Securities Trading - Submitting Fixed business, fixed term life insurance, Fixed annuities. Long term care policies. 4. 07/11/2022 - William Penn - Investment Related - Home Based - Non-Variable Insurance - Start Date - 06/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  2004-01-29