Henry Stephen Dembowski

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
CT	RA	APPROVED	2018-02-14
GA	RA	APPROVED	2018-02-14
ME	RA	APPROVED	2018-02-14
MA	RA	APPROVED	2018-02-14
NH	RA	APPROVED	2018-02-14
NJ	RA	APPROVED	2018-02-14
PA	RA	APPROVED	2018-02-14
RI	RA	APPROVED	2018-02-14
SC	RA	APPROVED	2018-02-14

CT RA
APPROVED

Since 2018-02-14
GA RA
APPROVED

Since 2018-02-14
ME RA
APPROVED

Since 2018-02-14
MA RA
APPROVED

Since 2018-02-14
NH RA
APPROVED

Since 2018-02-14
NJ RA
APPROVED

Since 2018-02-14
PA RA
APPROVED

Since 2018-02-14
RI RA
APPROVED

Since 2018-02-14
SC RA
APPROVED

Since 2018-02-14

Branch Locations

Milton, MA • 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
Invest Financial Corp	Milton	MA	04/2005	02/2018
Lpl Financial Llc	Milton	MA	02/2018	Present

04/2005 → 02/2018

Invest Financial Corp

Milton, MA
02/2018 → Present

Lpl Financial Llc

Milton, MA

Previous Registrations

2005-04-19 → 2018-02-14

Invest Financial Corporation

Milton, MA

Boston, MA

Boston, MA
2003-12-12 → 2005-04-29

Osaic Fa, Inc.

Boston, MA
2001-08-24 → 2003-12-01

Veravest Investment Advisors, Inc.

Boston, MA

Other Businesses

1. 02/14/2018 - No Business Name - Investment Related - Non-Variable Insurance - INSURANCE AGENT - Disability, Group Insurance. 2. 02/14/2018 - NORTHEAST FOOTBALL OPERATIONS - Not Investment Related - Other - DIRECTOR - Start Date 07/22/11 - 4 Hours Per Month/2 Hours During Securities Trading. 3. 02/14/2018 - MILTON HIGH SCHOOL - Not Investment Related - LOCATED AT MILTON HIGH SCHOOL, 25 GILE ROAD, MILTON, MA 02186 - Other - FOOTBALL COACH - Start Date 03/13/2015 - 30 Hours Per Month/0 Hours During Securities Trading. 4. 05/14/2024 - Ohio State Life Insurance Company - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s)- Start Date 04/24/2024 - 1 Hour Per Month/ 0 Hours During Trading 5. 05/14/2024 - NORTHEAST FOOTBALL OPERATIONS - Other- Business Owner - Director/Owner - Not Investment Related - Home Based - Start Date 05/01/2013 - 8 Hours Per Month/ 0 Hours During Trading 6. 06/04/2024 - Ibexis Life & Annuity Ins. Co. - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 6/4/2024 - 1 Hr/Mo; 0 Hr During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-12-17
S63	Uniform Securities Agent State Law Examination	1994-11-21

S65 Uniform Investment Adviser Law Examination

2001-12-17
S63 Uniform Securities Agent State Law Examination

1994-11-21

Other Names

Steve Dembowski
H. Stephen Dembowski
Henry Stephen Dembowski

View on SEC IAPD