Kirk David Maraglia

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

• 01/2014 → 06/2018
  Hsbc Bank Usa N.A.
  Eastchester, NY
• 02/2014 → 06/2018
  Hsbc Securities (Usa) Inc.
  Eastchester, NY
• 06/2018 → 08/2021
  Hsbc Securities (Usa) Inc.
  New York, NY
• 06/2018 → 08/2021
  Hsbc Bank Usa N.A.
  New York, NY
• 08/2021 → 09/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mount Kisco, NY
• 09/2021 → 10/2024
  Bank Of America, N.A.
  Mount Kisco, NY
• 10/2024 → Present
  Lpl Financial Llc
  Poughquag, NY

Previous Registrations

• 2021-08-25 → 2024-10-23
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  White Plains, NY
  White Plains, NY
• 2021-05-12 → 2021-08-27
  Hsbc Securities (Usa) Inc.
  Eastchester, NY
  Scarsdale, NY
  White Plains, NY
  White Plains, NY
  New York, NY

Other Businesses

1 - 08/12/2024 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s). 2 - 06/08/2026 - Advocate Health LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 06/08/2026 - 5 hours per month/ during trading 3 - 06/11/2026 - Ascend Wealth Management Inc. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Poughquag, NY - Start Date 06/17/2026 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2021-05-06
• S63 Uniform Securities Agent State Law Examination
  2001-07-11

Other Names

• Kirk D Maraglia