Alexander Siok

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

• 01/2019 → 04/2020
  Energywatch
  New York, NY
• 05/2018 → 02/2019
  Marketing Thru Graphics
  New York, NY
• 01/2018 → 01/2019
  Staples Business Advantage
  New York, NY
• 05/2017 → 12/2017
  Rapid Response Monitoring
  Syracuse, NY
• 08/2013 → 05/2017
  Student
  Binghamton, NY
• 05/2020 → 12/2023
  Northwestern Mutual Life Insurance Company
  New York, NY
• 04/2020 → 12/2023
  Northwestern Mutual Investment Services Llc
  New York, NY
• 08/2022 → 12/2023
  Northwestern Mutual Wealth Management Company
  New York, NY
• 07/2024 → 01/2025
  Mml Investors Services, Llc
  New York, NY
• 06/2024 → 01/2025
  Massmutual Life Insurance Company
  New York, NY
• 01/2024 → 05/2024
  Unemployed
  Liverpool, NY
• 10/2025 → Present
  Lpl Financial Llc
  Syracuse, NY
• 10/2025 → Present
  Empower Federal Credit Union
  Syracuse, NY
• 01/2025 → 06/2025
  Fifth Avenue Financial
  Syracuse, NC
• 06/2025 → 09/2025
  Unemployed
  Syracuse, NY

Previous Registrations

• 2024-07-17 → 2024-12-31
  Mml Investors Services, Llc
  New York, NY
  Liverpool, NY
• 2021-07-28 → 2023-12-31
  Northwestern Mutual Investment Services, Llc
  New York, NY

Other Businesses

1)10/23/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Empower Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams

• S66 Uniform Combined State Law Examination
  2021-07-23

Other Names

• Alexander Siok
• Alex Siok