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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-05 |
Branch Locations
888 Veterans Memorial Hwy Suite 220, Office 235, Hauppauge, NY 11788 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Hauppauge | NY | 06/2026 | Present |
| Hsbc Bank Usa, N.A. | East Setauket | NY | 08/2016 | 02/2018 |
| Hsbc Bank Usa, National Associaiton | Lake Ronkonkoma | NY | 02/2018 | 01/2021 |
| Hsbc Securities Usa, Inc. | Lake Ronkonkoma | NY | 02/2018 | 01/2021 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 01/2021 | 05/2026 |
1.06/05/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Momentum Wealth Partners; Investment Related; at Reported Business Location(s); Start Date 04/13/2026; 160hrs/mth; 160hrs during trading 2.06/05/2026; Carolyn Smith; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 04/13/2026; 20hrs/mth; 20hrs during trading 3.08/13/2026; Heritage and Hope Wealth Management LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 06/18/2026; 1hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-11 |
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