Joseph J Praino

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

• 04/2013 → 08/2020
  Hsbc Securities (Usa) Inc.
  Eastchester, NY
• 08/2016 → 09/2020
  Hsbc Bank Usa, N.A.
  Eastchester, NY
• 09/2020 → Present
  Lpl Financial Llc
  Purchase, NY

Previous Registrations

• 2008-04-01 → 2020-10-19
  Hsbc Securities (Usa) Inc.
  Scarsdale, NY
  Eastchester, NY
  Wilton, CT
  Monroe, CT
  New Rochelle, NY
  Mamaroneck, NY
  White Plains, NY
  White Plains, NY
  Bronxville, NY
  New Rochelle, NY
  Bronx, NY
  Mamaroneck, NY
  Rye, NY
• 2006-10-04 → 2008-03-05
  Chase Investment Services Corp.
  New Rochelle, NY
  Scarsdale, NY
  Croton, NY
  Madison, NJ
  Dobbs Ferry, NY
  Fishkill, NY
  Mamaroneck, NY
  Kingston, NY
  Middletown, NY
  Monticello, NY
  Mt. Vernon, NY
  Mount Kisco, NY
  Poughkeepsie, NY
  Newburgh, NY
  Scarsdale, NY
  White Plains, NY
  White Plains, NY
  Southport, CT
  Riverside, CT
  Pleasant Valley, NY
  White Plains, NY
  Peekskill, NY
  White Plains, NY
  Washingtonville, NY
  Port Chester, NY
  Yonkers, NY
  Yonkers, NY
  Newburgh, NY
  Mount Vernon, NY
  Briarcliff, NY
  Brewster, NY
  Pleasantville, NY
  Chappagua, NY
  Monroe, NY
  White Plains, NY
  Thornwood, NY
  Tarrytown, NY
  Briarcliff Manor, NY
  Irvington, NY
  New Rochelle, NY
  Hopewell Junction, NY
  Greenwich, CT
  Greenwich, CT
  Greenwich, CT
  Greenwich, CT
  Old Greenwich, CT
  Poughkeepsie, NY
  Poughkeepsie, NY
  Wappinger Falls, NY
  Middletown, NY
  Goshen, NY
  Cornwall, NY
  Maybrook, NY
  Yonkers, NY
  Tuxedo, NY
  Scarsdale, NY
  Harrison, NY
  White Plains, NY
  White Plains, NY
  Farmingdale, NY
  Hauppauge, NY
  Greenwich, CT
  Hyde Park, NY
  Poughkeepsie, NY
  Poughkeepsie, NY
  New Paltz, NY
  Beacon, NY
  Kingston, NY
  Wurtsboro, NY
  Pine Bush, NY
  Highland Falls, NY
  Mount Vernon, NY
  Greenwood Lake, NY
  Yonkers, NY
  Mount Vernon, NY
  Yonkers, NY
  Yonkers, NY
  Larchmont, NY
  Larchmont, NY
  Mamaroneck, NY
  New Rochelle, NY
  Rye Brook, NY
  Port Chester, NY
  Tuckahoe, NY
  Scarsdale, NY
  Hartsdale, NY
  White Plains, NY
  White Plains, NY
  Hastings, NY
  Ossining, NY
  Ardsley, NY
  Shrub Oak, NY
  Somers, NY
  Yorktown, NY
  Katonah, NY
  Bedford, NY
  Bronxville, NY
  Bronxville, NY
  New Rochelle, NY
  Rye, NY
  White Plains, NY
  Bronx, NY
  Poughkeepsie, NY
  Bronxville, NY
  New York, NY
  Yonker, NY
  Elmsford, NY
  Port Jervis, NY
  New Windsor, NY
  Warwick, NY
  Briarcliff, NY
  New Rochelle, NY
  Mount Kisco, NY
  White Plains, NY
  Pomona, NY
  Yorktown Heights, NY
  Scarsdale, NY
  Mount Vernon, NY
  Scarsdale, NY
  New City, NY
  Harrison, NY
  Yonkers, NY
  Peekskill, NY
  Eastchester, NY
  Hartsdale, NY
  Ardsley, NY
  Cross River, NY
  Whiteplains, NY
  Bedford, NY
  Valley Cottage, NY
  Yorktown Heights, NY
  New Rochelle, NY
  Yonkers, NY
  Millwood, NY
  White Plains, NY
  Croton-On-Hudson, NY
  Pelham, NY
  Larchmont, NY
  Yonkers, NY
  Scarsdale, NY
  Pearl River, NY
  Tuckahoe, NY
  Goshen, NY
  Fishkill, NY
  Mount Vernon, NY
  Tarrytown, NY
  Somers, NY
  Nanuet, NY
  Mohegan Lake, NY
  Pleasantville, NY
  Hartsdale, NY
  White Plains, NY
  Yonkers, NY
  Rye, NY
  Larchmont, NY
  Orangeburg, NY
  Patterson, NY
  Monroe, NY
  Brewster, NY
  Thornwood, NY
  Elmsford, NY
  Nyack, NY
  Tarrytown, NY
  Garnerville, NY
  White Plains, NY
  Scarsdale, NY

Other Businesses

1)08/25/2020 - KM Capital Group Inc - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2014 - 160 hr/mth 2)08/25/2020 - KM Capital - Non-Variable Insurance - inv rel - at reported business location(s) - start: 01/2020 - 16 hr/mth

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-08-10
• S63 Uniform Securities Agent State Law Examination
  1993-07-12

Other Names

• Jay Praino