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Sydney Marlene Carvotta

LPl Financial LLC

Elmira, NY

Elmira, NY

CRD 8119700

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2025-10-21
  • NY RA
    APPROVED
    Since 2025-10-21

Branch Locations

One Chemung Canal Plz, Elmira, NY 14901 • United States

Elmira, NY • 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
OrganizationCityStateFromTo
Pizza D'S Mendon NY 01/2014 03/2017
Macgregor'S Grill & Taproom Rochester NY 03/2017 09/2021
Penn State University State College PA 08/2017 08/2018
University At Buffalo Buffalo NY 08/2018 01/2022
Aml Rightsource Buffalo NY 02/2022 06/2025
Lpl Financial Llc Elmira NY 06/2025 Present
Chemung Canal Trust Company Elmira NY 06/2025 Present
  • 01/2014 → 03/2017
    Pizza D'S
    Mendon, NY
  • 03/2017 → 09/2021
    Macgregor'S Grill & Taproom
    Rochester, NY
  • 08/2017 → 08/2018
    Penn State University
    State College, PA
  • 08/2018 → 01/2022
    University At Buffalo
    Buffalo, NY
  • 02/2022 → 06/2025
    Aml Rightsource
    Buffalo, NY
  • 06/2025 → Present
    Lpl Financial Llc
    Elmira, NY
  • 06/2025 → Present
    Chemung Canal Trust Company
    Elmira, NY
Other Businesses

1. CFS GROUP, INC- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)-

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-20
  • S66 Uniform Combined State Law Examination
    2025-10-20

View on SEC IAPD

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