Roy Gerard Casper

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

• 03/2004 → Present
  Unum Provident Mutual
  Albany, NY
• 03/2003 → Present
  Guardian Life Insurance
  East Syracuse, NY
• 01/2001 → Present
  Specific Solutions
  Williamsville, NY
• 01/2008 → 12/2016
  Princor
  Clifton Park, NY
• 01/2017 → Present
  Cadaret, Grant & Co., Inc.
  Clifton Park, NY
• 07/2025 → Present
  Lpl Financial Llc
  Clifton Park, NY

Previous Registrations

• 2019-09-16 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Clifton Park, NY
  Altoona, PA

Other Businesses

1- 06/2025 / UNUM Provident Mutual / Non-Variable Insurance / Investment Related / 5 hrs mth / 5 hrs during trading / Enfield, CT / Start date: 03/01/2004 2- 06/2025 / Guardian Life Insurance Company / Non-Variable Insurance / Investment Related / 1 hrs mth / 1 hrs during trading / Syracuse, NY / Start date: 03/03/2003 3- 06/2025 / Specific Solutions, Inc. / Non-Variable Insurance / Investment Related / 20 hrs mth / 20 hrs during trading / Williamsville, NY / Start date: 01/01/2001

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-06-11

Designations

• Chartered Financial Consultant