Joseph James Cina

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

• 01/2016 → 11/2016
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Westport, CT
• 01/2016 → 11/2016
  Bank Of America, N.A.
  Westport, CT
• 11/2016 → 08/2019
  National Securities Corporation
  Weston, CT
• 11/2016 → 08/2019
  National Asset Management
  Weston, CT
• 10/2019 → Present
  Lpl Financial, Llc
  Weston, CT

Previous Registrations

• 2016-11-30 → 2019-08-26
  B. Riley Wealth Advisors, Inc.
  Weston, CT
• 2016-01-22 → 2016-11-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Westport, CT
  New Haven, CT
  Westport, CT
• 2000-04-28 → 2015-05-14
  Charles Schwab & Co., Inc.
  Stamford, CT
  Greenwich, CT

Other Businesses

1. 1/27/2020 - No Business Name - Not Investment Related - Contacted at personal email address or through mobile phone. - Outside/W-2 Employment - Personal Driver - Started 11/02/2019 - 20 Hours Per Month/0 Hours During Securities Trading - Approximately two drives per week outside normal business hours, mostly to local airports.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-08-17
• S63 Uniform Securities Agent State Law Examination
  1992-08-14