Gerard Anthony Duphiney

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

• 06/2008 → Present
  Lpl Financial, Llc
  Denville, NJ

Previous Registrations

• 2008-01-01 → 2008-07-01
  Wells Fargo Clearing Services, Llc
  Mountain Lakes, NJ
• 2004-08-19 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Rockaway, NJ
  Rockaway, NJ
  St. Louis, MO

Other Businesses

(1) 06/26/08 - DBA DUPHINEY FINANCIAL NETWORKS. (2) 04/15/2009 - OTHER-INDEPENDENT FILM, OTHER-INDEPENDENT FILM, 0%. (3) 01/10/2013: REAL ESTATE RENTAL / FAMILY VACATION HOME WAS GIFTED TO ME AND MY 3 SIBLINGS / TIME SPENT 1% (4) 04/17/13 - REAL ESTATE RENTAL - DRAREG & NNELG, LLC - A REAL ESTATE HOLDING COMPANY FOR OUR LPL AFFILIATED DBA OF DUPHINEY FINANCIAL NETWORK - 2% OF TIME SPENT - DENVILLE, NJ. (5) 08/16/2022- DUPHINEY HOLDINGS, LLC- Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only-Start Date- 08/11/2022- 5 Hours Per Month/ 5 Hours During Securities Trading (6) 12/02/2024 - Real Estate Rental - Investment Related - Hoboken, NJ - Start Date 07/01/2019 - 1 hour per month/ 0 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2004-08-18
• S63 Uniform Securities Agent State Law Examination
  1995-11-02

Designations

• Certified Financial Planner