Benjamin C Lingenfelter

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	2021-12-01

NY RA
APPROVED

Since 2021-12-01

Branch Locations

Lake Grove, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Lake Grove	NY	06/2011	06/2018
Ameriprise Financial Services Inc	Smithtown	NY	06/2018	07/2019
Lpl Financial Llc	Lake Grove	NY	07/2019	Present

06/2011 → 06/2018

Lpl Financial Llc

Lake Grove, NY
06/2018 → 07/2019

Ameriprise Financial Services Inc

Smithtown, NY
07/2019 → Present

Lpl Financial Llc

Lake Grove, NY

Other Businesses

1)7/23/19- Lingenfelter Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- Lake Grove, NY- start dat 2011 - 100% 2)3/8/2023 - No Business Name - Not Investment Related - 980 Hawkins Ave, Lake Grove, NY 11755 - Outside/W-2 Employment - Code Enforcement officer - Start Date - 03/15/2023 - 20 Hours Per Month/5 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-30
S63	Uniform Securities Agent State Law Examination	1999-06-07

S65 Uniform Investment Adviser Law Examination

2021-11-30
S63 Uniform Securities Agent State Law Examination

1999-06-07

Other Names

Ben Lingenfelter
Benjamin Lingenfelter

View on SEC IAPD