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Hassan Syed Ali

LPl Financial LLC

Round Rock, TX

CRD 3223047

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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
IL RA APPROVED 2026-04-17
TX RA APPROVED_RES 2008-07-22
  • IL RA
    APPROVED
    Since 2026-04-17
  • TX RA
    APPROVED_RES
    Since 2008-07-22

Branch Locations

3000 Joe Dimaggio Blvd., #44F, Round Rock, TX 78665 • 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
Linsco/Private Ledger Corp Round Rock TX 12/2002 Present
  • 12/2002 → Present
    Linsco/Private Ledger Corp
    Round Rock, TX
Previous Registrations
Other Businesses

1. 3/25/2010: DBA ONLY - HASSAN S. ALI - ROUND ROCK, TX

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-09
S63 Uniform Securities Agent State Law Examination 1999-07-07
  • S65 Uniform Investment Adviser Law Examination
    1999-07-09
  • S63 Uniform Securities Agent State Law Examination
    1999-07-07

View on SEC IAPD

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