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Mary Elizabeth Dunne

LPl Financial LLC

Pearl River, NY

CRD 1185235

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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_RES 2022-10-20
NY RA APPROVED 2021-08-03
  • TX RA
    APPROVED_RES
    Since 2022-10-20
  • NY RA
    APPROVED
    Since 2021-08-03

Branch Locations

Pearl River, 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
OrganizationCityStateFromTo
Lpl Financial Llc (F.K.A) Linsco/Private Ledger Corp. Pearl River NY 11/1996 Present
  • 11/1996 → Present
    Lpl Financial Llc (F.K.A) Linsco/Private Ledger Corp.
    Pearl River, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-14
  • S63 Uniform Securities Agent State Law Examination
    1992-01-14

View on SEC IAPD

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