Douglas Michael Sternemann

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

• 06/2014 → Present
  M&T Securities, Inc.
  Buffalo, NY
• 04/2014 → Present
  M&T Bank
  Saugerties, NY
• 06/2021 → Present
  Lpl Financial Llc
  Monroe, NY
• 06/2021 → Present
  Lpl Financial Llc
  Monroe, NY

Previous Registrations

• 2014-06-30 → 2021-06-09
  M&T Securities, Inc.
  Saugerties, NY
  Middletown, NY
  Fishkill, NY
  Syracuse, NY
  Baltimore, MD
  Monroe, NY
  New Paltz, NY

Other Businesses

STARTING: 04/2014; MANUFACTURERS & TRADERS TRUST COMPANY ("M&T BANK"), ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF M&T BANK. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS.

Exams

• S66 Uniform Combined State Law Examination
  2013-04-26

Other Names

• Douglas Michael Sterneman