Robert Nelson Donofrio

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
AZ	RA	APPROVED	2023-05-01
OH	RA	APPROVED	2019-05-01

AZ RA
APPROVED

Since 2023-05-01
OH RA
APPROVED

Since 2019-05-01

Branch Locations

Amherst, OH • United States

Lake Havasu, AZ • 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
Axa Advisors, Llc	New York	NY	07/2007	04/2019
Lpl Financial Llc	Amherst	OH	04/2019	Present

07/2007 → 04/2019

Axa Advisors, Llc

New York, NY
04/2019 → Present

Lpl Financial Llc

Amherst, OH

Previous Registrations

2007-10-09 → 2019-05-06

Equitable Advisors, Llc

Amherst, OH

Independence, OH

Other Businesses

1)04/16/2019 - AXA Equitable - Non-Variable Insurance - inv rel - at reported business location(s) - start: 04/2019 - 160 hr/mth 2)3/27/2023 - No Business Name - Investment Related - Lake Havasu city Az 86406 - Real Estate Rental - Start Date - 04/15/2021 - 1 Hours Per Month/1 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-11-24

S66 Uniform Combined State Law Examination

2007-11-24

Other Names

Robert Donofrio

View on SEC IAPD