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Frank Peter Diulus

LPl Financial LLC

East Amherst, NY

CRD 1013074

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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
NY RA APPROVED 2025-07-10
  • NY RA
    APPROVED
    Since 2025-07-10

Branch Locations

East Amherst, NY • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cadaret, Grant & Co., Inc. East Amherst NY 11/2004 07/2025
Diulus Financial East Amherst NY 11/2004 Present
Lpl Financial Llc East Amherst NY 07/2025 Present
  • 11/2004 → 07/2025
    Cadaret, Grant & Co., Inc.
    East Amherst, NY
  • 11/2004 → Present
    Diulus Financial
    East Amherst, NY
  • 07/2025 → Present
    East Amherst, NY
Previous Registrations
  • 2021-05-04 → 2025-07-10
    Cadaret, Grant & Co., Inc.
    East Amherst, NY
    Niagara Falls, NY
Other Businesses

1- 07/2025 - Diulus Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/22/1980 - 120 hours per month/ during trading 2- 07/2025 - Diulus Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/22/1980 - 150 hours per month/ 140 hours during trading 3- 07/2025 - Diulus Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/24/2004 - 150 hours per month/ 140 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-24
S63 Uniform Securities Agent State Law Examination 1998-11-18
  • S66 Uniform Combined State Law Examination
    2004-09-24
  • S63 Uniform Securities Agent State Law Examination
    1998-11-18

View on SEC IAPD

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