Brian K Roberts

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

• 11/2015 → 10/2022
  Sterling National Bank
  New City, NY
• 02/2017 → Present
  Lpl Financial, Llc
  New City, NY
• 09/2021 → Present
  Webster Bank
  New York, NY

Other Businesses

1. 2/27/2017 - No Business Name - Not Investment Rela - ted - At Reported Business Location(s) - Other-Notary - Started 3/11/2013 - 1 Hour Per Month During Securities Trading - Time Spent 1%. 2. 09/03/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date: 09/03/2021. 3. 10/30/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2018-10-16
• S63 Uniform Securities Agent State Law Examination
  2017-04-06

Other Names

• Brian Roberts