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Divpreet Kaur

LPl Financial LLC

Franklin Square, NY

CRD 5317709

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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_RES 2026-07-21
NY RA APPROVED 2021-08-03
VA RA APPROVED 2012-12-21
  • TX RA
    APPROVED_RES
    Since 2026-07-21
  • NY RA
    APPROVED
    Since 2021-08-03
  • VA RA
    APPROVED
    Since 2012-12-21

Branch Locations

955 Hempstead Turnpike, Franklin Square, NY 11010 • 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 Riverhead NY 12/2012 Present
Previous Registrations
  • 2011-06-24 → 2012-12-20
    Capital One Financial Advisors Llc
    Melville, NY
Other Businesses

(1) 3/28/2013 - TRS WEALTH MANAGEMENT INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-22
S63 Uniform Securities Agent State Law Examination 2007-05-07
  • S65 Uniform Investment Adviser Law Examination
    2011-06-22
  • S63 Uniform Securities Agent State Law Examination
    2007-05-07

View on SEC IAPD

Nearby Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Nearby Investors

DOMINICK MOLINARO
Mohammed Zaidi
Joachim Daniel Terzi

Nearby Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRANKLIN SQUARE, NY
J.P. MORGAN SECURITIES LLC · FRANKLIN SQUARE, NY
LPL FINANCIAL LLC · FRANKLIN SQUARE, NY

More in Franklin Square, NY

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