Clare Mertz

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-01-02

NY RA
APPROVED

Since 2025-01-02

Branch Locations

3 Lear Jet Ln Stes 200N & 201N, Latham, NY 12110 • 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

Organization	City	State	From	To
Wealthone Llc(Wealthpointllc;Fka:CApital Financial Planning Llc)	Albany	NY	08/2003	11/2023
Lpl Financial Llc	Albany	NY	08/2016	11/2023
Unemployed	N/A	NY	11/2023	01/2025
Lpl Financial, Llc	Latham	NY	01/2025	Present

08/2003 → 11/2023

Wealthone Llc(Wealthpointllc;Fka:CApital Financial Planning Llc)

Albany, NY
08/2016 → 11/2023

Lpl Financial Llc

Albany, NY
11/2023 → 01/2025

Unemployed

N/A, NY
01/2025 → Present

Lpl Financial, Llc

Latham, NY

Previous Registrations

2021-07-18 → 2023-10-02

Wealthone, Llc

Albany, NY

Other Businesses

1- 01/2025 / Empire Financial Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 01/2025 / Freelance Writer / Author / Not Investment Related / 1 hr mth / Voorheesville, NY / Start date: 01/03/2025

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-06
S63	Uniform Securities Agent State Law Examination	1992-04-04

S65 Uniform Investment Adviser Law Examination

1999-12-06
S63 Uniform Securities Agent State Law Examination

1992-04-04

Other Names

Clare Mertz
Clare Lee
Clare Mertzlee
Clare Mertz-Lee

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews