Richard Stuart Fineberg

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 04/2022
  Cco Investment Services Corp
  Amherst, NY
• 04/2022 → Present
  Lpl Financial Llc
  Williamsville, NY

Previous Registrations

• 2013-02-21 → 2022-04-29
  Citizens Securities, Inc.
  Tonawanda, NY
  Buffalo, NY
  Amherst, NY
  Buffalo, NY
  Amherst, NY
  N. Tonawanda, NY
  Niagara Falls, NY
  Niagara Falls, NY
  Grand Island, NY
  Niagara Falls, NY
  Buffalo, NY
  Amherst, NY
  Buffalo, NY
  Syracuse, NY
  Buffalo, NY
  Tonawanda, NY
  Cheektowaga, NY
  Lockport, NY
  Williamsville, NY
• 2008-06-17 → 2013-02-04
  M&T Securities, Inc.
  Rochester, NY
  West Seneca, NY
  Cheektowaga, NY
  Cheektowaga, NY
  Clarence, NY
  East Amherst, NY
  Williamsville, NY
  Williamsville, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-16
• S63 Uniform Securities Agent State Law Examination
  1996-06-10