Maria Giacalone-Mozo
LPL Financial
15310 Amberly Dr, suite 250,
Tampa, FL 33647
8133094936
About LPL Financial
LPL Financial is one of the nation's leading financial services companies and a publicly traded
company under ticker symbol LPLA. The firm's mission is rooted in the belief that objective
financial guidance is a fundamental need for everyone. LPL does not offer proprietary
investment products or engage in investment banking activities; this means advisors affiliated
with LPL are not pressured or influenced by LPL to sell its products. Thousands of financial
advisors nationwide are able to rely on the firm's tools and resources to help them provide
financial guidance and recommendations to help meet their clients' needs.
See Disclosures
General Information
Firm Start Year
CRD#
4572965
Firm CRD#
6413
Name of Broker/Dealer
LPL FINANCIAL LLC
States Licensed in
FL
Years of Experience in Financial Services
8
Number of Years with Current Firm
4
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
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
CRPC®
Securities Licenses
Series 6, Series 7, Series 63, Series 65
Insurance and Annuity Licenses
Life, Annuity
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250K+
Compensation Methods
Commissions, Based on Assets
Disclosures
RothIRA.org provides referrals to financial professionals of LPL Financial, LLC (LPL). RothIRA.org is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RothIRA.org cash compensation for these referrals, which creates the incentive for RothIRA.org 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