Rocco Addona

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
NY	RA	APPROVED	2021-08-03
CT	RA	APPROVED	2019-12-13

NY RA
APPROVED

Since 2021-08-03
CT RA
APPROVED

Since 2019-12-13

Branch Locations

700 White Plains Rd Suits 255, Scarsdale, NY 10583 • 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
Royal Alliance Associates, Inc.	Scarsdale	NY	12/2002	12/2019
Lpl Financial Llc	Scarsdale	NY	12/2019	Present

12/2002 → 12/2019

Royal Alliance Associates, Inc.

Scarsdale, NY
12/2019 → Present

Lpl Financial Llc

Scarsdale, NY

Previous Registrations

2011-08-30 → 2019-12-19

Osaic Wealth, Inc.

Scarsdale, NY

Scarsdale, NY

Other Businesses

1)12/3/19- AFM ADVISOR GRUP- DBA for LPL Business (entity for LPL business)- Inv. Related- Scarsdale, NY- 100% 2)12/3/19- Non-Variable Insurance- Agent - Inv. Related- Scarsdale, NY- start date 11/30/2019- 5/hrs/mth- 1% 3) 12/3/19- AMF ADVISORS GROUP- Tax Prep/Accounting/CPA- Inv. Related- Scarsdale, NY- start date 11/30/19- 80hrs/mth-20%

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-06-26
S63	Uniform Securities Agent State Law Examination	1993-03-22

S65 Uniform Investment Adviser Law Examination

2003-06-26
S63 Uniform Securities Agent State Law Examination

1993-03-22

View on SEC IAPD