Tab Barry Mak

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
NJ	RA	APPROVED	2015-09-17

NY RA
APPROVED

Since 2021-08-03
NJ RA
APPROVED

Since 2015-09-17

Branch Locations

Millwood, NY • 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

Organization	City	State	From	To
Lpl Financial, Llc	Croton Falls	NY	07/2015	Present

07/2015 → Present

Lpl Financial, Llc

Croton Falls, NY

Previous Registrations

2015-01-02 → 2015-07-22

Msi Financial Services, Inc.

Elmsford, NY
2012-03-27 → 2015-01-02

New England Securities

Tarrytown, NY

Elmsford, NY
2005-03-15 → 2012-03-02

Equitable Advisors, Llc

Stamford, CT

Stamford, CT

Other Businesses

1. 12/19/2016 - No Business Name - Not Investment Related - Home Based - Outside/W-2 Employment - Insurance Claims Adjuster - Start 02/01/2017 - 10 Hours Per Month/0 Hours During Securities Trading. 2. 09/22/2021 - Tab Mak, Financial Advisor - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2021 - 4 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-04-30

S66 Uniform Combined State Law Examination

2004-04-30

View on SEC IAPD