Michael David Montaruli

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
TX	RA	APPROVED_RES	2021-08-11
NY	RA	APPROVED	2021-08-03

TX RA
APPROVED_RES

Since 2021-08-11
NY RA
APPROVED

Since 2021-08-03

Branch Locations

152 Route 6, Mahopac, NY 10541 • United States

1515 Route 22, Brewster, NY 10509 • United States

2 Terrace Dr, Carmel, NY 10512 • 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
Hudson Valley Federal Credit Union	Carmel	NY	03/2005	Present
Lpl Financial Llc	Carmel	NY	07/2015	Present

03/2005 → Present

Hudson Valley Federal Credit Union

Carmel, NY
07/2015 → Present

Lpl Financial Llc

Carmel, NY

Other Businesses

1. 10/5/2017 - Hudson Valley Federal Credit Union Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 10/09/2017 - 4 Hours Per Month During Securities Trading - Medicare Advantage Plans, Medicare Supplements and Prescription Drug Plans. 2. 10/3/2019 - Hudson Valley Credit Union - DBA: Wealth Management at Hudson Valley Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2019 - 32 Hours Per Month/32 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2015-09-17

S63 Uniform Securities Agent State Law Examination

2015-09-17

View on SEC IAPD