Jimmy Roman Castrillon

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	2022-08-02

NY RA
APPROVED

Since 2022-08-02

Branch Locations

170 Fulton Avenue, Hempstead, NY 11550 • United States

1033 Route 109, Farmingdale, NY 11735 • United States

1644 Dutch Broadway, Elmont, NY 11003 • United States

750 Old Country Road, Westbury, NY 11590 • United States

210 W. Merrick Road, Freeport, NY 11520 • United States

899 S Oyster Bay Rd, Bethpage, NY 11714 • United States

613 Sunrise Hwy., Lynbrook, NY 11563 • United States

233 South Research Pl, Central Islip, NY 11722 • United States

Bellmore, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Hsbc Bank Usa, N.A	New York	NY	08/2016	09/2017
Citigroup Global Markets	New York	NY	09/2017	07/2022
Bethpage Federal Cu	Freeport	NY	07/2022	Present
Lpl Financial	Freeport	NY	07/2022	Present

08/2016 → 09/2017

Hsbc Bank Usa, N.A

New York, NY
09/2017 → 07/2022

Citigroup Global Markets

New York, NY
07/2022 → Present

Bethpage Federal Cu

Freeport, NY
07/2022 → Present

Lpl Financial

Freeport, NY

Previous Registrations

2017-09-22 → 2022-07-18

Citigroup Global Markets Inc.

New York, NY

New York, NY

Long Island City, NY

New York, NY

New York, NY

New York, NY

New York, NY

Uniondale, NY

New York, NY

Fort Mill, SC
2013-08-09 → 2017-09-27

Hsbc Securities (Usa) Inc.

New York, NY

New York, NY

New York, NY

New York, NY
2012-03-29 → 2013-05-21

Capital One Financial Advisors Llc

Melville, NY
2010-07-14 → 2011-11-28

Essex National Securities, Llc

New York, NY

Napa, CA

New York, NY
1998-05-11 → 2009-08-18

Chase Investment Services Corp.

New York, NY

Jackson Heights, NY

New York, NY

New York, NY

New York, NY

New York, NY

Other Businesses

1. 09/16/2022 - Bethpage Financial Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/05/2022 -200 Hours Per Month/8 Hours During Securities Trading 2. 11/10/2022 - Bethpage Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 11/02/2022 - 40 Hours Per Month/8 Hours During Securities Trading. 3. 12/18/2024 - FourLeaf Financial Group - Investment Related - Registered Investment Advisor DBA - Bethpage NY - Start Date: 02/28/2025 - 200 Hours Per Month - 8 Hours During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-04-17
S63	Uniform Securities Agent State Law Examination	1994-03-21

S65 Uniform Investment Adviser Law Examination

1998-04-17
S63 Uniform Securities Agent State Law Examination

1994-03-21

Other Names

Jimmy Castrillon

View on SEC IAPD