Zachary David Stein

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
NY	RA	APPROVED	2022-05-13

NY RA
APPROVED

Since 2022-05-13

Branch Locations

New Rochelle, NY • 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
Woodbury Financial	Harrison	NY	01/2008	05/2022
Lpl Financial	Larchmont	NY	05/2022	Present

01/2008 → 05/2022

Woodbury Financial

Harrison, NY
05/2022 → Present

Lpl Financial

Larchmont, NY

Previous Registrations

2017-06-02 → 2022-05-17

Woodbury Financial Services, Inc.

Harrison, NY

Poughquag, NY

Larchmont, NY
2002-06-24 → 2008-01-11

New England Securities

New York, NY

Garden City, NY

New York, NY

New York, NY

Other Businesses

1. 06/08/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 06/06/2022 - 10 Hours Per Month/ 5 Hours During Securities Trading. 2. 05/31/2024 - Non-Variable Insurance - Life Insurance Broker - Investment Related - At Reported Business Location(s) - Start Date 05/13/2024 - 2 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-09-09

S66 Uniform Combined State Law Examination

2002-09-09

View on SEC IAPD