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Michael J Hastings

LPl Financial LLC

Albany, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-10-14
  • NY RA
    APPROVED
    Since 2025-10-14

Branch Locations

4 Winners Circle, Albany, NY 12205 • 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
The Ayco Company, L.P./Mercer Allied Albany NY 04/2008 01/2021
Goldman Sachs & Co. Llc Cohoes NY 01/2021 10/2025
Lpl Financial Llc Albany NY 10/2025 Present
Broadview Federal Credit Union Albany NY 10/2025 Present
  • 04/2008 → 01/2021
    The Ayco Company, L.P./Mercer Allied
    Albany, NY
  • 01/2021 → 10/2025
    Goldman Sachs & Co. Llc
    Cohoes, NY
  • 10/2025 → Present
    Lpl Financial Llc
    Albany, NY
  • 10/2025 → Present
    Broadview Federal Credit Union
    Albany, NY
Previous Registrations
Other Businesses

1)10/03/2025 - Broadview Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-25
  • S66 Uniform Combined State Law Examination
    2012-05-25

View on SEC IAPD

Other Firms

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MPWM ADVISORY SOLUTIONS LLC
CITIZENS SECURITIES, INC.
THE AFFINITY GROUP, LLC
WELLS FARGO CLEARING SERVICES, LLC
CERITY PARTNERS LLC

Other Investors

DANIEL DOUGLAS BAUER
BRETT PHILIP HARRIS
DOUGLAS JAMES BAUER
MICHAEL STEPHEN SHAPIRO
STEPHEN MARK PEER
RICHARD JEFFERY ANTHONY
GEORGE NICHOLAS BROWN
JOHN COLE BUFF

Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

More in Albany, NY

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