Ernest Escobar

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
PA	RA	APPROVED	2022-05-19
NJ	RA	APPROVED	2019-03-26

PA RA
APPROVED

Since 2022-05-19
NJ RA
APPROVED

Since 2019-03-26

Branch Locations

1 Lethbridge Plaza, Mahwah, NJ 07430 • United States

140 Sppedwell Ave, Morris Plains, NJ 07950 • United States

653 Route 46 W, Fairfield, NJ 07004 • United States

3 Post Road, Oakland, NJ 07436 • United States

5 Clubhouse Drive - Suite 9, Washington, NJ 07882 • United States

5 Washington Ave, Dumont, NJ 07628 • United States

1240 Sussex Turnpike, Randolph, NJ 07869 • United States

120 Van Nostrand Ave, Englewood Cliffs, NJ 07632 • United States

68 Route 46 W, Hackettstown, NJ 07840 • United States

250 Pehle Ave, Saddle Brook, NJ 07663 • United States

78 Washington Ave, Westwood, NJ 07675 • United States

4245 N. 5Th St. Hwy, Temple, PA 19560 • 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
Lpl Finanical Llc	Montgomery	NY	12/2015	05/2018
Jp Morgan Chase Bank, N.A.	Washingtonville	NY	05/2018	03/2019
Jp Morgan Securities, Llc	Washingtonville	NY	05/2018	03/2019
E&P Productions	New Windsor	NY	12/2016	12/2017
Lpl Financial Llc	Mahawah	NJ	03/2019	Present
Visions Federal Credit Union	Mahwah	NJ	03/2019	Present
Visions Analysis Llc	Endicott	NY	03/2019	Present

12/2015 → 05/2018

Lpl Finanical Llc

Montgomery, NY
05/2018 → 03/2019

Jp Morgan Chase Bank, N.A.

Washingtonville, NY
05/2018 → 03/2019

Jp Morgan Securities, Llc

Washingtonville, NY
12/2016 → 12/2017

E&P Productions

New Windsor, NY
03/2019 → Present

Lpl Financial Llc

Mahawah, NJ
03/2019 → Present

Visions Federal Credit Union

Mahwah, NJ
03/2019 → Present

Visions Analysis Llc

Endicott, NY

Previous Registrations

2018-06-19 → 2019-03-28

J.P. Morgan Securities Llc

Greenwood Lake, NY

Washingtonville, NY

Other Businesses

1. 12/12/2023 - Visions Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/21/2023 - 0 Hours Per Month/ During Trading. 2. BE Method, LLC, non investment-related, 207 Parr Meadow Drive, Newburgh, NY, E Commerce Sales, Co-Owner, 09/01/2024, 4 hrs/month, 0 hrs/month during securities trading hours, research, development.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-06-14
S63	Uniform Securities Agent State Law Examination	2016-02-29

S66 Uniform Combined State Law Examination

2018-06-14
S63 Uniform Securities Agent State Law Examination

2016-02-29

View on SEC IAPD