Daniel Mark Gindi

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
FL	RA	APPROVED	2018-12-05
CT	RA	APPROVED	2018-11-30

NY RA
APPROVED

Since 2021-08-03
FL RA
APPROVED

Since 2018-12-05
CT RA
APPROVED

Since 2018-11-30

Branch Locations

Boca Raton, FL • 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

Organization	City	State	From	To
Lpl Financial, Llc	Boca Raton	FL	01/2005	Present

01/2005 → Present

Lpl Financial, Llc

Boca Raton, FL

Other Businesses

(1)1/19/2005 - DBA ONLY - WEALTH PRESERVATION SPECIALISTS, LLC - AT REPORTED BUSINESS LOCATION(S). (2) 04/23/2015 - DAN GINDI - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - START 01/01/05 - 1 HR/MO DURING SECS TRDG HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-11-28
S63	Uniform Securities Agent State Law Examination	1985-10-07

S65 Uniform Investment Adviser Law Examination

2018-11-28
S63 Uniform Securities Agent State Law Examination

1985-10-07