Alfred James Merchant

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2005 → 07/2025
  Cadaret, Grant & Co., Inc.
  South Glens Falls, NY
• 07/2025 → Present
  Lpl Financial Llc
  South Glens Falls, NY

Previous Registrations

• 2021-05-04 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  South Glens Falls, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY

Other Businesses

1) 07/10/2025-VanDerzee Financial-Sales Agent-Non-Variable Insurance-Inv related-At Clifton Park, NY-Start date 07/15/2005-2hrs/mth-2hrs/mth during trading 2) 07/10/2025-Alfred J. and Amy C. Merchant-Owner-Real Estate Rental-Inv related-At South Glens Falls, NY-Start date 07/15/2005-3hrs/mth-0hrs/mth during trading 3) 07/10/2025-Merchant Marine-Owner-Business Owner-Not inv related-At Queensbury, NY-Start date 06/15/2017-5hrs/mth-0hrs/mth during trading 4) 07/10/2025-Lake George J-Boat Racing, LLC-Member-Business Owner-Not inv related-At South Glens Falls, NY-Start date 03/15/2018-2hrs/mth-0hrs/mth during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1990-02-03

Other Names

• Alfie Merchant