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Dennis Richard Kaffel

LPl Financial LLC

Massapequa, NY

Short Hills, NJ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-06-05
NY RA APPROVED 2025-06-05
  • NJ RA
    APPROVED
    Since 2025-06-05
  • NY RA
    APPROVED
    Since 2025-06-05

Branch Locations

Massapequa, NY • United States

Short Hills, NJ • 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
OrganizationCityStateFromTo
Brill Securities, Inc. New York NY 01/2002 Present
Western International Securities, Inc. Pasadena CA 10/2015 Present
Lpl Financial Llc Short Hills NJ 06/2025 Present
  • 01/2002 → Present
    Brill Securities, Inc.
    New York, NY
  • 10/2015 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Short Hills, NJ
Previous Registrations
  • 2019-11-04 → 2025-06-05
    Western International Securities, Inc.
    New York, NY
    Pasadena, CA
    New York, NY
    Massapequa, NY
    Short Hills, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-28
S63 Uniform Securities Agent State Law Examination 1981-06-04
  • S66 Uniform Combined State Law Examination
    2019-10-28
  • S63 Uniform Securities Agent State Law Examination
    1981-06-04

View on SEC IAPD

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