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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
NY RA APPROVED 2025-12-08
  • NY RA
    APPROVED
    Since 2025-12-08

Branch Locations

4302 18Th Avenue, Brooklyn, NY 11218 • United States

1401 Avenue M, Brooklyn, NY 11230 • United States

5220 13Th Ave, Brooklyn, NY 11219 • 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
Cetera Advisors Llc Denver CO 07/2015 02/2021
Allstate Insurance Co Northbrook IL 06/2023 12/2025
Unemployed Woodhaven NY 03/2021 05/2023
Allstate Financial Advisors, Llc Lincoln NE 08/2023 12/2025
Allstate Financial Services, Llc Lincoln NE 06/2023 12/2025
Lpl Financial Llc Brooklyn NY 12/2025 Present
Webster Bank Brooklyn NY 12/2025 Present
  • 07/2015 → 02/2021
    Cetera Advisors Llc
    Denver, CO
  • 06/2023 → 12/2025
    Allstate Insurance Co
    Northbrook, IL
  • 03/2021 → 05/2023
    Unemployed
    Woodhaven, NY
  • 08/2023 → 12/2025
    Lincoln, NE
  • 06/2023 → 12/2025
    Allstate Financial Services, Llc
    Lincoln, NE
  • 12/2025 → Present
    Brooklyn, NY
  • 12/2025 → Present
    Webster Bank
    Brooklyn, NY
Previous Registrations
  • 2023-08-09 → 2025-12-05
    Flushing, NY
    Brooklyn, NY
  • 2015-07-10 → 2021-02-09
    Cetera Advisors Llc
    Rosedale, NY
    Webster, NY
  • 2015-01-27 → 2015-11-23
    United Advisors
    Astoria, NY
  • 2012-10-01 → 2014-11-24
    Astoria, NY
  • 2007-11-06 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
    Astoria, NY
    Astoria, NY
    Glen Oaks, NY
    Astoria, NY
    Flushing, NY
    College Point, NY
Other Businesses

1) 11/17/2025- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Inv. related- At reported business location(s) 2) 11/10/2025- Nubari Corp- Business Entity For Tax/Investment Purposes Only- owner - Non-inv. related - Woodhaven, NY -start date 11/10/2025- 4hrs/mth - 0 during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-03
S65 Uniform Investment Adviser Law Examination 2007-11-05
S63 Uniform Securities Agent State Law Examination 2004-08-30
  • S66 Uniform Combined State Law Examination
    2023-08-03
  • S65 Uniform Investment Adviser Law Examination
    2007-11-05
  • S63 Uniform Securities Agent State Law Examination
    2004-08-30
Other Names
  • Barry Dee
  • Korsa Kuebari Nzidee

View on SEC IAPD

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