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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
NY RA APPROVED 2024-12-12
  • NY RA
    APPROVED
    Since 2024-12-12

Branch Locations

459 Fifth Avenue, Brooklyn, NY 11215 • United States

975 Allerton Avenue, Bronx, NY 10469 • United States

61 South Broadway, Yonkers, NY 10701 • United States

37-16 30Th Avenue, Long Island City, NY 11103 • United States

72-35 Broadway, Jackson Heights, NY 11105 • United States

31-24 Ditmars Blvd, Long Island City, NY 11105 • 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
Cohen & Steers Capital Management, Inc New York NY 06/2016 09/2016
Webster Bank Brooklyn NY 06/2024 Present
Cohen & Steers Capital Management, Inc New York NY 07/2017 06/2024
Bowdoin College Brunswick ME 09/2016 07/2017
Lpl Financial Llc Brooklyn NY 06/2024 Present
  • 06/2016 → 09/2016
    Cohen & Steers Capital Management, Inc
    New York, NY
  • 06/2024 → Present
    Webster Bank
    Brooklyn, NY
  • 07/2017 → 06/2024
    Cohen & Steers Capital Management, Inc
    New York, NY
  • 09/2016 → 07/2017
    Bowdoin College
    Brunswick, ME
  • 06/2024 → Present
    Brooklyn, NY
Other Businesses

1 - 07/24/2024 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Inv Related - At reported business location(s). 2- 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
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-11
  • S66 Uniform Combined State Law Examination
    2024-12-11
Other Names
  • Kevin Kearney

View on SEC IAPD

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