John Patsy

LPL Financial

900 Route 111
Suite 280

Hauppauge, NY 11788

631-350-7024

About LPL Financial

I am an independent CERTIFIED FINANCIAL PLANNER" professional and my practice is centered around comprehensive financial planning with a focus on retirement planning and investment management. I am affiliated with LPL Financial, a leading independent financial services firm. Through comprehensive planning I work with my clients to review their financial position relative to their financial goals and develop a plan of action to help achieve those goals. I foster an ongoing relationship through regularly scheduled meetings to help keep their financial plan on track as their life situation and the economy and markets change.

General Information

Firm Start Year

1921

CRD#

2772152

Firm CRD#

6413

Insurance License#

LA-1083766

Name of Broker/Dealer

LPL Financial, LLC

Name of Custodial Firm

LPL Financial, LLC

States Licensed in

NY, FL, GA, CA, NC, SC

Years of Experience in Financial Services

Number of Years with Current Firm

I work with the following types of clients

Businesses, Individual Investors

Services

Investment Types

Commodities, Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Insurance, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via Phone, At your office, At your home, At my office, Video Conference

Compliance

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP^®, CLTC^®, Retirement Income Certified Professional®, RICP^®

Securities Licenses

Series 7, Series 66

Insurance and Annuity Licenses

Disability, Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life

Financial Organization Memberships

Financial Planning Association (FPA)

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$50,000

Compensation Methods

Commissions

Education

BBA - Finance

James Madison University
January 1981 - August 1984

Disclosures

LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

LPL WiserAdvisor Cash Solicitor Disclosure

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/wiseradvisor/wiseradvisor-lpl-solicitor-disclosure.pdf

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