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Joseph Michael Masiello

LPl Financial LLC

Stamford, CT

CRD 858677

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2010-07-26
CT RA APPROVED 2009-02-23
  • TX RA
    APPROVED
    Since 2010-07-26
  • CT RA
    APPROVED
    Since 2009-02-23

Branch Locations

Stamford, CT • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Stamford CT 02/2009 Present
  • 02/2009 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Stamford, CT
Previous Registrations
Other Businesses

1. 2/18/2009: JMM WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-08
S63 Uniform Securities Agent State Law Examination 1985-04-02
  • S66 Uniform Combined State Law Examination
    2005-10-08
  • S63 Uniform Securities Agent State Law Examination
    1985-04-02
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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