Best Investors Account Sign in
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
NJ RA APPROVED 2009-12-07
  • NY RA
    APPROVED
    Since 2021-08-03
  • NJ RA
    APPROVED
    Since 2009-12-07

Branch Locations

195 Montague Street, Rm.1154, Brooklyn, NY 11201 • 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
Lpl Financial Llc Brooklyn NY 12/2009 Present
Previous Registrations
  • 2007-05-29 → 2009-12-17
    Brooklyn, NY
    Long Island City, NY
    Greenwich, CT
    Brooklyn, NY
  • 2004-10-14 → 2007-05-29
    Citicorp Investment Services
    Brooklyn, NY
    Brooklyn, NY
Other Businesses

1. 11/30/2021 - Satchi Prasad - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 01/30/2022 - 20 Hours Per Month/0 Hours During Securities Trading - Tax Prep.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-21
S63 Uniform Securities Agent State Law Examination 1994-04-19
  • S65 Uniform Investment Adviser Law Examination
    2004-12-21
  • S63 Uniform Securities Agent State Law Examination
    1994-04-19

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Brooklyn, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor