Carol L Schmeiser

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	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

Syracuse, NY • United States

5730 Commons Park Drive, East Syracuse, NY 13057 • 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
Lpl Financial, Llc	San Diego	CA	01/2013	Present

01/2013 → Present

Lpl Financial, Llc

San Diego, CA

Other Businesses

(1) 9/30/2011: DBA ONLY - URIST FINANCIAL AND RETIREMENT PLANNING, INC. - EAST SYRACUSE, NY (2) 07/29/2013 - NOTARY - NOTARIZE SIGNATURES - EAST SYRACUSE, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2003-03-10

S63 Uniform Securities Agent State Law Examination

2003-03-10

View on SEC IAPD