Louis Pantuosco

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
SC	RA	APPROVED	2025-06-13
TX	RA	APPROVED	2025-06-13

SC RA
APPROVED

Since 2025-06-13
TX RA
APPROVED

Since 2025-06-13

Branch Locations

York, SC • 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
Ameriprise Financial Services, Inc.	East Longmeadow	MA	03/2016	03/2020
Ameriprise Financial Services, Llc	East Longmeadow	MA	03/2020	06/2025
Lpl Financial Llc	York	SC	06/2025	Present

03/2016 → 03/2020

Ameriprise Financial Services, Inc.

East Longmeadow, MA
03/2020 → 06/2025

Ameriprise Financial Services, Llc

East Longmeadow, MA
06/2025 → Present

Lpl Financial Llc

York, SC

Previous Registrations

2017-05-03 → 2025-06-25

Ameriprise Financial Services, Llc

East Longmeadow, MA

York, SC

Other Businesses

06/12/2025 - Teacher - Lakepoint Academy - Private School - non investment related - York, SC - 01/15/2012 - 10hrs per month - 5% time spent 06/11/2025 - Coach - Charlotte Soccer Academy - Soccer Club - non investment related - York, SC - 08/01/2022 - 32 hrs per month - 5% time spent

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-11-14

S66 Uniform Combined State Law Examination

2016-11-14

View on SEC IAPD