Peter James Moschak

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	2021-06-02

NY RA
APPROVED

Since 2021-06-02

Branch Locations

460 E Front St, Owego, NY 13827 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Johnson City	NY	06/2013	11/2016
Wells Fargo Clearing Services, Llc	Johnson City	NY	11/2016	07/2019
Voya Financial Advisors, Inc.	Endicott	NY	08/2019	05/2021
Lpl Financial	Endicott	NY	05/2021	Present

06/2013 → 11/2016

Wells Fargo Advisors, Llc

Johnson City, NY
11/2016 → 07/2019

Wells Fargo Clearing Services, Llc

Johnson City, NY
08/2019 → 05/2021

Voya Financial Advisors, Inc.

Endicott, NY
05/2021 → Present

Lpl Financial

Endicott, NY

Previous Registrations

2019-12-06 → 2021-05-26

Voya Financial Advisors, Inc.

Endicott, NY

Charlotte, NC
2013-09-06 → 2019-07-29

Wells Fargo Clearing Services, Llc

Johnson City, NY

Other Businesses

1)05/19/2021 - Moschak Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2021 - 160 Hr/Mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-31

S66 Uniform Combined State Law Examination

2013-08-31

View on SEC IAPD