Robert N Spadano

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
MA	RA	APPROVED	2006-12-19

MA RA
APPROVED

Since 2006-12-19

Branch Locations

1600 Boston Providence Hwy, Walpole, MA 02081 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
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 Financial Llc (Fka Linsco/Private Ledger Corp.)	Walpole	MA	12/2006	Present

12/2006 → Present

Lpl Financial Llc (Fka Linsco/Private Ledger Corp.)

Walpole, MA

Previous Registrations

2005-08-10 → 2007-01-16

First Financial Advisory Services Inc

Westerly, RI
2005-05-25 → 2007-01-05

First Allied Securities, Inc.

Westerly, RI

Westerly, RI

Other Businesses

(1) 09/24/2013 - DBA ONLY - SEVEN POINT FINANCIAL, INC - WALPOLE, MA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2005-02-28

S63 Uniform Securities Agent State Law Examination

2005-02-28

Designations

Chartered Financial Analyst

View on SEC IAPD