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Daniel Richard Hazewski

LPl Financial LLC

Glens Falls, NY

S. Glens Falls, NY

CRD 2325020

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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

Glens Falls, NY • United States

S. Glens Falls, NY • 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
Linsco/Private Ledger Glens Falls NY 05/2004 Present
  • 05/2004 → Present
    Linsco/Private Ledger
    Glens Falls, NY
Other Businesses

1. 08/12/2004 - NON-VARIABLE INSURANCE DBA / LEGACY PLANNING PARTNERS, LLC 2. 3/15/2012 - DBA ONLY - LEGACY PLANNING PARTNERS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-08
  • S63 Uniform Securities Agent State Law Examination
    1993-04-08
Other Names
  • Dan Hazewski

View on SEC IAPD

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