Fred Yale Goldfinger

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
PA	RA	APPROVED	2016-09-09

PA RA
APPROVED

Since 2016-09-09

Branch Locations

Williamsport, PA • 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
Linsco/Private Ledger Corp.	Williamsport	PA	08/1994	Present

08/1994 → Present

Linsco/Private Ledger Corp.

Williamsport, PA

Other Businesses

1. 7/5/2018 - Fred Y. Goldfinger - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:05/15/2018 - 2 Hours Per Month/0 Hours During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-02-08
S63	Uniform Securities Agent State Law Examination	1981-11-20

S65 Uniform Investment Adviser Law Examination

1996-02-08
S63 Uniform Securities Agent State Law Examination

1981-11-20

View on SEC IAPD