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Ryan Mark Cassidy

LPl Financial LLC

San Rafael, CA

Petaluma, CA

CRD 4808069

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-03
CA RA APPROVED 2011-06-13
  • TX RA
    APPROVED
    Since 2023-04-03
  • CA RA
    APPROVED
    Since 2011-06-13

Branch Locations

7 Mt Lassen Dr Ste C152, San Rafael, CA 94903 • United States

100 Petaluma Blvd N #101, Petaluma, CA 94952 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc San Rafael CA 06/2011 Present
Previous Registrations
  • 2009-10-23 → 2011-06-13
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Santa Rosa, CA
    San Rafael, CA
    Petaluma, CA
    Mill Valley, CA
  • 2008-08-11 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Rafael, CA
    Petaluma, CA
    Mill Valley, CA
  • 2007-04-02 → 2008-08-13
    Morgan Stanley & Co. Llc
    San Rafael, CA
    San Rafael, CA
  • 2006-02-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Rafael, CA
    San Rafael, CA
Other Businesses

1. 9/2/2011: DBA ONLY - MORAES & CASSIDY GROUP, LLC - SAN RAFAEL, CA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-17
  • S66 Uniform Combined State Law Examination
    2006-02-17
Other Names
  • Ryan Mark Passidy

View on SEC IAPD

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