Brian Jay Ullman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2001 → 07/2025
  Cadaret,Grant & Co., Inc.
  Port Jefferson, NY
• 09/1998 → Present
  North Shore Financial Resources
  Port Jefferson, NY
• 07/2025 → Present
  Lpl Financial Llc
  Port Jefferson, NY

Previous Registrations

• 2021-05-04 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Port Jefferson, NY
  Syracuse, NY
  Smithtown, NY
  Southport, NC
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY

Other Businesses

1- 07/2025 - North Shore Financial Resources - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/01/1998 - 120 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-24
• S63 Uniform Securities Agent State Law Examination
  1992-05-20

Designations

• Chartered Financial Consultant

Other Names

• Brian J Ullman