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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
11 Marshall Rd Ste 2A, Wappingers Falls, NY 12590 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Bank | Providence | RI | 07/2016 | 07/2018 |
| Citizens Securities, Inc. | Providence | RI | 07/2016 | 07/2018 |
| Broadview Federal Cu | Albany | NY | 07/2018 | 03/2024 |
| Lpl Financial Llc | Wappingers Falls | NY | 07/2018 | Present |
| Hudson Valley Credit Union | Wappingers Falls | NY | 03/2024 | Present |
1) 7/24/18- Real Estate Rental -LANDLORD/ OWNER OF A RENTAL PROPERTY -Inv. Related- Greenbush, NY- start date 2012 - 2hrs/mth - 1% 2) 8/11/2020 - Longo Management Properties - Investment Related - 9 ELLIOT Ave - Real Estate Rental - Owner - Started 08/01/2020 - 1 Hours Per Month/0 Hour During Securities Trading. 3) 6/18/2021 - No Business Name - Investment Related - Mechanicville, NY - Real Estate Rental - Start Date: 1/21/2021 - 1 Hours Per Month/0 Hours During Securities Trading. 4) 06/03/2024 - Wealth Management at Hudson Valley Credit Union - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 3/18/2024 - 180 Hrs/Mo; 8 Hrs During Trading. 5) 10/22/2024 - Puppy Kitty NYC - Non-Profit Board Member - Not Investment Related - Middlebridge, NY - Start Date 09/16/2024 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-24 |
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