Justin Michael Faulkner

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
TX	RA	APPROVED_RES	2018-07-24
PA	RA	APPROVED	2015-10-22

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2018-07-24
PA RA
APPROVED

Since 2015-10-22

Branch Locations

One Chemung Canal Plz, Elmira, NY 14901 • United States

159 Canton Street, Troy, PA 16947 • United States

5 West Main Street, Canton, PA 17724 • United States

951 Pennsylvania Ave, Elmira, NY 14904 • United States

54 Fall St, Seneca Falls, NY 13148 • United States

304 Elmira Rd, Ithaca, NY 14850 • United States

628 W Church St, Elmira, NY 14905 • United States

806 W Buffalo St, Ithaca, NY 14850 • United States

303 W Main St, Montour Falls, NY 14865 • United States

Elmira, 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	Elmira	NY	10/2015	Present
Chemung Canal Trust Company	Elmira	NY	10/2015	Present

10/2015 → Present

Lpl Financial, Llc

Elmira, NY
10/2015 → Present

Chemung Canal Trust Company

Elmira, NY

Previous Registrations

2013-08-19 → 2015-09-28

Morgan Stanley

Elmira, NY

Other Businesses

1)10/20/15-CFS Group Inc./DBA for LPL Business/100%/Elmira, NY 2)10/20/15-Real Estate Rental/owner and property manager of 2 properties/ 2%Elmira, NY 3)10/20/15-Town of Southport Zoning Board of Appeals/Non-Profit Board Member/2%/Elmira, NY. 4) 2/16/2018 - CFS Group, Inc. - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 01/29/2018 - 8 Hours Per Month/0 Hours During Securities Trading - Tax preparer. 5) 3/13/2018 - Specific Solutions Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Started 03/12/2018 - 5 Hours Per Month During Securities Trading. 6) 3/13/2018 - KAFL Insurance Resources - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Started 03/12/2018 - 5 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-15

S66 Uniform Combined State Law Examination

2013-08-15

View on SEC IAPD