Matthew D Brenner

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
NJ	RA	APPROVED	2018-05-31

NY RA
APPROVED

Since 2021-08-03
NJ RA
APPROVED

Since 2018-05-31

Branch Locations

404 Glen Cove Ave Ste 100, Sea Cliff, NY 11579-2107 • United States

Commack, NY • 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	Sea Cliff	NY	07/2010	Present

07/2010 → Present

Lpl Financial, Llc

Sea Cliff, NY

Other Businesses

1. 2/28/2017 - Shelter Rock Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/16/2016 - 240 Hours Per Month/8 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-07-29
S63	Uniform Securities Agent State Law Examination	2010-10-19

S66 Uniform Combined State Law Examination

2011-07-29
S63 Uniform Securities Agent State Law Examination

2010-10-19

Other Names

Matthew Brenner

View on SEC IAPD