National Retirement Planning Experts

National Coverage
Local Professionals

seller-profile

John Patsy

LPL Financial

900 Route 111
Suite 280

Hauppauge, NY 11788

631-350-7024

About LPL Financial

LPL Financial is a national independent broker/dealer headquartered in San Diego, Boston, and Charlotte that supports its advisors with independent investment research, financial planning and insurance expertise.

See Disclosures

General Information

Firm Start Year

1922

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

14

Number of Years with Current Firm

11

Work with the following types of clients

Individual Investors, Businesses

Services

Investment Types

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

Can meet clients in the following ways

Your Home, Our Office, Phone, Video Conference, Your Office

Compliance

Registered Representative

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP®, RICP®, CLTC®

Securities Licenses

Series 66, Series 7

Insurance and Annuity Licenses

Annuity, Health, Life, Disability, 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

FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

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

Additional Detailed Disclosures

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