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Michael J Hastings

LPl Financial LLC

Albany, NY

CRD 5376897

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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 2025-10-14
  • 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

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Nearby Investors

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DOUGLAS JAMES BAUER

Nearby Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY

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