Barry Mitchell Kay

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

• 07/2009 → 06/2019
  Foresters Financial Services
  Woodbridge, NJ
• 08/2017 → 06/2019
  Foresters Advisory Services
  Iselin, NJ
• 06/2019 → 09/2021
  Cetera Investment Services Llc
  St Cloud, MN
• 06/2019 → 09/2021
  Cetera Investment Advisers Llc
  Iselin, NJ
• 09/2021 → Present
  Lpl Financial, Llc
  Iselin, NJ

Previous Registrations

• 2019-06-21 → 2021-09-07
  Cetera Investment Advisers Llc
  Iselin, NJ
• 2017-09-13 → 2019-06-20
  Foresters Advisory Services, Llc
  Iselin, NJ

Other Businesses

1) 9/2021 - DBA for LPL Business (entity for LPL business) - Align Wealth Group - Investment Related - Iselin, NJ 08830 2) 9/2021 - DBA for LPL Business (entity for LPL business) - Align Wealth Management Group - Investment Related - Iselin, NJ 08830 3) 2010 - Non-Variable Insurance - Balmville Wealth Group - Investment Related - Iselin, NJ 08830 4) 9/2021 - DBA for LPL Business (entity for LPL business) - Balmville Wealth Group - Investment Related - Iselin, NJ 08830 5) 09/22/2023 - Real Estate Rental - Investment Related - Hoboken, NJ - Start Date 07/19/2023 - 5 Hours Per Month/ 0 Hours During Trading 6) 02/29/2024 - Vanbridge - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/19/2023 - 20 Hours Per Month/ 1 Hour During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-08-10
• S63 Uniform Securities Agent State Law Examination
  2009-11-20