Anthony Samuel Asterino

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	2021-08-03
FL	RA	APPROVED	2020-02-14

NY RA
APPROVED

Since 2021-08-03
FL RA
APPROVED

Since 2020-02-14

Branch Locations

Stuart, FL • United States

306A Grooms Rd, Clifton Park, NY 12065 • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Halfmoon	NY	04/1996	Present

04/1996 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Halfmoon, NY

Other Businesses

1. 5/2/2003: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - SELLING TERM LIFE INSURANCE THROUGH SECURITY MUTUAL AND CAN. 2. 3/18/2014: ASTERINO, CPA, PC - CPA/Bookkeeper/Tax Preparer - Time Spent 70% - General Accounting, AICPA Compilation Financial Statements, Income Tax preparation

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-02-10
S63	Uniform Securities Agent State Law Examination	1994-03-18

S65 Uniform Investment Adviser Law Examination

2020-02-10
S63 Uniform Securities Agent State Law Examination

1994-03-18

Other Names

Anthony S Asterino

View on SEC IAPD