Timothy Michael Pease

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-07-10

NY RA
APPROVED

Since 2025-07-10

Branch Locations

Penn Yan, NY • United States

441 Penbrooke Dr Suite 5, Penfield, NY 14526 • 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
Commonwealth Financial Group	Penfield	NY	11/1994	Present
Cadaret, Grant & Co., Inc.	Penfield	NY	10/1999	07/2025
Lpl Financial Llc	Penn Yan	NY	07/2025	Present

11/1994 → Present

Commonwealth Financial Group

Penfield, NY
10/1999 → 07/2025

Cadaret, Grant & Co., Inc.

Penfield, NY
07/2025 → Present

Lpl Financial Llc

Penn Yan, NY

Previous Registrations

2020-04-03 → 2025-07-10

Cadaret, Grant & Co., Inc.

Penfield, NY

Penn Yan, NY

Syracuse, NY

Syracuse, NY

Other Businesses

1- 07/2025 - Commonwealth Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/06/1997 - 150 hours per month/ 140 hours during trading 2- 07/2025 - KAFL - Non-Variable Insurance - Sales Rep - Investment Related - At Reported Business Location(s) - Start Date 01/02/1990 - 1 hour per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-10-22

S63 Uniform Securities Agent State Law Examination

1987-10-22

View on SEC IAPD