Arden Alvin Baptiste

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	2024-05-01
CT	RA	APPROVED	2022-08-17

NY RA
APPROVED

Since 2024-05-01
CT RA
APPROVED

Since 2022-08-17

Branch Locations

26 South Route 9W, W. Haverstraw, NY 10993 • United States

253 North Main Street, Spring Valley, NY 10977 • United States

111 Kraft Avenue, Bronxville, NY 10708 • United States

977 Central Park Avenue, Scarsdale, NY 10583 • United States

14 South Moger Ave, Mount Kisco, NY 10549 • United States

Highland Mills, NY • United States

59 Kensico Road, Thornwood, NY 10594 • United States

320 Mamaroneck Ave., White Plains, NY 10605 • United States

2040 Boston Post Road, Larchmont, NY 10538 • 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
People'S Securities, Inc.	Bridgeport	CT	06/2012	Present
People's United Advisors, Inc/	Bridgeport	CT	05/2018	Present
Lpl Financial Llc	W. Haverstraw	NY	08/2022	Present
Lpl Financial Llc	W. Haverstraw	NY	08/2022	Present

06/2012 → Present

People'S Securities, Inc.

Bridgeport, CT
05/2018 → Present

People's United Advisors, Inc/

Bridgeport, CT
08/2022 → Present

Lpl Financial Llc

W. Haverstraw, NY
08/2022 → Present

Lpl Financial Llc

W. Haverstraw, NY

Previous Registrations

2018-05-21 → 2022-08-17

People'S United Advisors, Inc.

West Haverstraw, NY
2013-09-19 → 2020-03-31

People'S Securities, Inc.

New City, NY

Hyde Park, NY

Peekskill, NY

Orangeburg, NY

Bridgeport, CT

Spring Valley, NY

Airmont, NY

W. Haverstraw, NY

Nanuet, NY

Poughkeepsie, NY

Baldwin Place, NY

Poughkeepsie, NY

Rhinebeck, NY

Pomona, NY

Brewster, NY

Mount Kisco, NY

West Haverstraw, NY

Other Businesses

1. 08/18/2022 - Wilmington Advisors at M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date - 08/22/2022 - 160 Hours Per Month/130 Hours During Securities Trading. 2. 08/18/2022 - 11564 Mizzon LLC - Investment Related - Windermere, FL 34786-5524 - Real Estate Rental - Owner - Start Date - 12/15/2021 - 2 Hours Per Month/0 Hours During Securities Trading. 3. 08/18/2022 - 11564 Mizzon LLC - Investment Related - Windermere, FL 34786-5555 - Real Estate Rental - Owner - Start Date - 12/01/2021 - 1 Hours Per Month/0 Hours During Securities Trading. 4. 08/18/2022 - Rockland Community College - Investment Related - 145 College Rd Suffern, NY 10901-3620 - Adjunct Professor - Start Date - 01/04/2017 - 20 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-07-17
S63	Uniform Securities Agent State Law Examination	1997-01-03

S65 Uniform Investment Adviser Law Examination

2012-07-17
S63 Uniform Securities Agent State Law Examination

1997-01-03

View on SEC IAPD