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Mario Paniscotti

LPl Financial LLC

Sea Girt, NJ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2017-11-29
IL RA APPROVED 2017-11-29
MD RA APPROVED 2017-11-29
NJ RA APPROVED 2017-11-29
  • DE RA
    APPROVED
    Since 2017-11-29
  • IL RA
    APPROVED
    Since 2017-11-29
  • MD RA
    APPROVED
    Since 2017-11-29
  • NJ RA
    APPROVED
    Since 2017-11-29

Branch Locations

2150 Highway 35 Ste 250, Sea Girt, NJ 08750 • 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
OrganizationCityStateFromTo
National Planning Corporation Sea Girt NJ 11/2015 11/2017
Lpl Financial Llc Sea Girt NJ 11/2017 Present
  • 11/2015 → 11/2017
    National Planning Corporation
    Sea Girt, NJ
  • 11/2017 → Present
    Sea Girt, NJ
Previous Registrations
  • 2015-11-09 → 2017-12-06
    National Planning Corporation
    El Segundo, CA
    Sea Girt, NJ
    Los Angeles, CA
  • 2009-03-13 → 2015-11-10
    Cetera Advisors Llc
    Wall, NJ
  • 2002-05-08 → 2009-04-09
    Sea Girt, NJ
    Sea Girt, NJ
Other Businesses

1. 02/23/2022 - BKE Wealth Management, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 09/09/2011 - 0 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-29
S63 Uniform Securities Agent State Law Examination 1994-04-08
  • S65 Uniform Investment Adviser Law Examination
    1994-04-29
  • S63 Uniform Securities Agent State Law Examination
    1994-04-08

View on SEC IAPD

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