Azhar Abbas Shah

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
NY	RA	APPROVED	2021-08-03
NJ	RA	APPROVED	2015-04-07

NY RA
APPROVED

Since 2021-08-03
NJ RA
APPROVED

Since 2015-04-07

Branch Locations

6348 Rte. 25A, Wading River, NY 11792 • United States

696 Horseblock Road, Farmingville, NY 11738 • United States

1880 Middle Country Rd, Ridge, NY 11961 • United States

325 Route 25 A, Rocky Point, NY 11778 • United States

1047 North Country Road, Stony Brook, NY 11790 • 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
Webster Bank	Shirley	NY	05/2005	Present
Lpl Financial Llc	Shirley	NY	02/2015	Present

05/2005 → Present

Webster Bank

Shirley, NY
02/2015 → Present

Lpl Financial Llc

Shirley, NY

Other Businesses

(1) 09/07/2021 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/07/2021.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-04-06

S66 Uniform Combined State Law Examination

2015-04-06

View on SEC IAPD