Lyse-anne Marie Lepine

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
RI	RA	APPROVED	2024-05-01

RI RA
APPROVED

Since 2024-05-01

Branch Locations

6 Blackstone Valley Pl Ste 101, Lincoln, RI 02865 • 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
Homemaker	Cumberland	RI	07/2001	03/2017
Securities America, Inc.	Cumberland	RI	03/2017	07/2018
Securities America, Inc.	Lincoln	RI	07/2018	04/2024
Securities America Advisors	Lincoln	RI	01/2019	04/2024
Lpl Financial Llc	Lincoln	RI	05/2024	Present

07/2001 → 03/2017

Homemaker

Cumberland, RI
03/2017 → 07/2018

Securities America, Inc.

Cumberland, RI
07/2018 → 04/2024

Securities America, Inc.

Lincoln, RI
01/2019 → 04/2024

Securities America Advisors

Lincoln, RI
05/2024 → Present

Lpl Financial Llc

Lincoln, RI

Previous Registrations

2019-01-10 → 2024-05-01

Securities America Advisors, Inc.

Cumberland, RI

Lincoln, RI

Other Businesses

1) 04/2024 - Lepine Financial Advisors INC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 20 Hrs per month / 100% Time Spent

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-12-03

S66 Uniform Combined State Law Examination

2018-12-03

Other Names

Lyse-Anne Marie Wante

View on SEC IAPD