Daniel Francis Desmond

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	2025-07-31

NY RA
APPROVED

Since 2025-07-31

Branch Locations

Troy, NY • United States

2742 6Th Ave, Troy, NY 12180 • 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
The Ayco Company, L.P./Mercer Allied	Latham	NY	11/2012	01/2021
Ayco/Goldman Sachs & Co. Llc	Cohoes	NY	01/2021	07/2025
Lpl Financial	Troy	NY	07/2025	Present

11/2012 → 01/2021

The Ayco Company, L.P./Mercer Allied

Latham, NY
01/2021 → 07/2025

Ayco/Goldman Sachs & Co. Llc

Cohoes, NY
07/2025 → Present

Lpl Financial

Troy, NY

Previous Registrations

2017-08-17 → 2025-08-14

Goldman Sachs Wealth Services, L.P.

Latham, NY

Cohoes, NY

Other Businesses

1- 07/2025 / Desmond Wealth Management Group LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s)

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-09-20

S66 Uniform Combined State Law Examination

2015-09-20

Other Names

Daniel Francis Desmond
Daniel Desmond

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