Kevin Barry

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-02-28
MA	RA	APPROVED	2018-12-04

TX RA
APPROVED_RES

Since 2022-02-28
MA RA
APPROVED

Since 2018-12-04

Branch Locations

900 Cummings Center, #414U, Beverly, MA 01915 • 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
Wells Fargo Advisors Llc	Beverly	MA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Beverly	MA	11/2016	08/2018
Lpl Financial	Beverly	MA	09/2018	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Beverly, MA
11/2016 → 08/2018

Wells Fargo Clearing Services, Llc

Beverly, MA
09/2018 → Present

Lpl Financial

Beverly, MA

Previous Registrations

2006-04-13 → 2018-09-11

Wells Fargo Clearing Services, Llc

Beverly, MA

Wakefield, MA

Other Businesses

9/7/2018 - NOTARY - KEVIN BARRY - 100% - 188 LEXINGTON ST, WODBURN, MA 01801 2) 01/13/2025 - Northeast Planning Associates, Inc. - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 01/10/2025 - 120 Hrs/Mth - 6 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-11-27
S63	Uniform Securities Agent State Law Examination	1992-06-22

S65 Uniform Investment Adviser Law Examination

2018-11-27
S63 Uniform Securities Agent State Law Examination

1992-06-22

View on SEC IAPD