Lawrence John Mcternan

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-03-27
NY	RA	APPROVED	2026-03-25

TX RA
APPROVED_RES

Since 2026-03-27
NY RA
APPROVED

Since 2026-03-25

Branch Locations

Cortlandt Manor, NY • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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

Organization	City	State	From	To
Hsbc Bank Usa, N.A.	New York	NY	08/2016	11/2016
Wells Fargo Advisors, Llc	New York	NY	11/2016	11/2016
Wells Fargo Clearing Services, Llc	New York	NY	11/2016	03/2026
Lpl Financial	Cortlandt Manor	NY	03/2026	Present

08/2016 → 11/2016

Hsbc Bank Usa, N.A.

New York, NY
11/2016 → 11/2016

Wells Fargo Advisors, Llc

New York, NY
11/2016 → 03/2026

Wells Fargo Clearing Services, Llc

New York, NY
03/2026 → Present

Lpl Financial

Cortlandt Manor, NY

Previous Registrations

2016-11-07 → 2026-03-30

Wells Fargo Clearing Services, Llc

New York, NY

New York, NY

New York, NY

Purchase, NY

Cortlandt Manor, NY
2012-02-24 → 2016-11-17

Hsbc Securities (Usa) Inc.

New York, NY

New York, NY

New York, NY

New York, NY

New York, NY
2005-11-16 → 2006-08-08

Td Wealth Management Services Inc.

Purchase, NY

New York, NY

Ramsey, NJ

Toms River, NJ

Tinton Falls, NJ

South Plainfield, NJ

New York, NY

Melville, NY

Astoria, NY

New York, NY

New Brunswick, NJ

Chatham, NJ

Toms River, NJ

Tinton Falls, NJ

South Plainfield, NJ

New York, NY

Philadelphia, PA

Ramsey, NJ

New York, NY
2004-10-20 → 2005-03-03

Banc Of America Investment Services, Inc.

New York, NY
2002-12-12 → 2004-10-20

Quick & Reilly, Inc.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-02-22
S63	Uniform Securities Agent State Law Examination	2010-07-01

S65 Uniform Investment Adviser Law Examination

2012-02-22
S63 Uniform Securities Agent State Law Examination

2010-07-01