Luis Alejandro Velez

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
MD	RA	APPROVED	2026-05-22
TX	RA	APPROVED_RES	2026-05-20

MD RA
APPROVED

Since 2026-05-22
TX RA
APPROVED_RES

Since 2026-05-20

Branch Locations

Towson, MD • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Towson	MD	05/2024	Present
Morgan Stanley	Baltimore	MD	04/2017	04/2026
Harborside Group	Towson	MD	08/2014	04/2017
Morgan Stanley Private Bank, National Association	New York	NY	07/2017	04/2026

05/2024 → Present

Lpl Financial

Towson, MD
04/2017 → 04/2026

Morgan Stanley

Baltimore, MD
08/2014 → 04/2017

Harborside Group

Towson, MD
07/2017 → 04/2026

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2017-10-19 → 2026-05-01

Morgan Stanley

Lutherville, MD

Baltimore, MD

Lutherville, MD

Other Businesses

1. 5/2026 - Veraison Private Wealth - DBA for LPL Business (entity for LPL business) - INV REL - 160 Hour(s)/Month – 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 5/18/2026 2. 5/2026 - Veraison Private Wealth - Non-Variable Insurance - INV REL - 5 Hour(s)/Month – 5 Hour(s) During Trading - Towson MD 21286 - OBA Start date: 04/18/2017

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-19

S66 Uniform Combined State Law Examination

2017-10-19

View on SEC IAPD