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John Patsy, CFP®, RICP®

LPL Financial

900 Route 111
Suite 280

Hauppauge, NY 11788
(631) 3507024

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

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

Years of Experience in Financial Services

14

Number of Years with Current Firm

9

I work with the following types of clients

Businesses, Individual Investors

Services

Investment Types

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

I can meet clients in the following ways

At my office, At your home, At your office, Via phone

Compliance

Registered Investment Advisor

No

Registered Representative

Yes

Investment Advisor Representative

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

CERTIFIED FINANCIAL PLANNER™ Certificant, Retirement Income Certified Professional®, Certified in Long-Term Care (CLTC)

Securities Licenses

Series 66, Series 7

Insurance and Annuity Licenses

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

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

Hourly

Education

BBA - Finance

James Madison University
January 1981 - August 1984

Disclosures

Securities and Advisory Services Offered Through LPL Financial, A Registered Investment Advisor, and member FINRA/SIPC