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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-15 |
| NJ | RA | APPROVED | 2025-07-10 |
| NY | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
7777 Glades Road Suite 100, Boca Raton, FL 33434 • United States
500 North Broadway Suites 260 & 242, Jericho, NY 11753 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Jericho | NY | 01/1990 | 07/2025 |
| American Investment Planners Llc | Jericho | NY | 10/2010 | 12/2022 |
| Cadaret, Grant & Co., Inc. | Boca Raton | FL | 10/2015 | 07/2025 |
| Lebenthal Global Advisors Llc | Hauppauge | NY | 03/2018 | 12/2024 |
| Lpl Financial Llc | Jericho | NY | 07/2025 | Present |
1. 7/10/2025: R&S Planning; At reported business location(s); Non-Variable Insurance; Inv. related; start date 1/1/1980; 1hr/mo. during trading. 2. 7/10/2025: AIP Florida LLC; At reported business location(s); Business Entity For Tax/Investment Purposes Only; Not inv. related; start date 11/30/2023; 1hr/mo. during trading. 3. 7/10/2025: No Business name; At reported business location(s); Non-Variable Insurance; Inv. related; start date 1/1/1974; 1hr/mo. during trading. 4. 7/10/2025: American Investment Planners LLC; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 1/1/2011; 160hrs/mo. during trading. 5. 7/10/2025 - Books Authored under Lee Rosenberg - Author - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/1993 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-12-03 |
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