Best Investors Account Sign in

Sagorica Basu Rudra

LPl Financial LLC

Woodbury, NY

CRD 2299892

Claim This Profile
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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
  • NY RA
    APPROVED
    Since 2021-08-03

Branch Locations

1000 Woodbury Rd Ste 403, Woodbury, NY 11797 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Uniondale NY 09/2010 04/2019
Lpl Financial Llc Syosset NY 04/2019 Present
  • 09/2010 → 04/2019
    Ubs Financial Services Inc
    Uniondale, NY
  • 04/2019 → Present
    Lpl Financial Llc
    Syosset, NY
Previous Registrations
Other Businesses

1)04/15/2019 - Paul Global Advisors LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-11
  • S66 Uniform Combined State Law Examination
    2008-03-11
Other Names
  • Rica Rudra

View on SEC IAPD

More in Woodbury, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor