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Donald Paul Johannes

LPl Financial LLC

Melville, NY

Melville, NY

Fort Mill, SC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-08-22
TX RA APPROVED 2025-08-22
  • NY RA
    APPROVED
    Since 2025-08-22
  • TX RA
    APPROVED
    Since 2025-08-22

Branch Locations

538 Broadhollow Rd, Suite 202, Melville, NY 11747 • United States

538 Broadhollow Rd, Suite 202, Melville, NY 11747 • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Melville NY 10/2009 03/2020
Ameriprise Financial Services, Inc. Melville NY 10/2009 03/2020
Ameriprise Financial Services, Llc Melville NY 03/2020 08/2025
Lpl Financial Llc Melville NY 08/2025 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Melville, NY
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Melville, NY
  • 03/2020 → 08/2025
    Ameriprise Financial Services, Llc
    Melville, NY
  • 08/2025 → Present
    Lpl Financial Llc
    Melville, NY
Previous Registrations
  • 2009-10-05 → 2025-08-25
    Ameriprise Financial Services, Llc
    Melville, NY
    Lake Grove, NY
  • 2007-09-24 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Garden City, NY
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-21
S63 Uniform Securities Agent State Law Examination 1990-01-12
  • S65 Uniform Investment Adviser Law Examination
    2007-09-21
  • S63 Uniform Securities Agent State Law Examination
    1990-01-12

View on SEC IAPD

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