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Pina Formicola

LPL Financial LLC
36 Years of Experience
Pittsford, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Pina Formicola is a registered investment advisor at LPL Financial LLC, based in Pittsford, NY, with 36 years of industry experience. Pina is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

65-B Monroe Avenue, Pittsford Village Green, Pittsford, NY, 14534

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
August 1992
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Pina works as an investment advisor for ISWM and a registered representative for Peak Brokerage Services, dedicating about 10-20% of their time and a few hours per week, respectively. Pina is also an insurance agent with Top Advisors Group and involved with The Financial Guys for financial planning.

Employment History
Current Registrations
LPL Financial LLC
June 2026 - Present · 4 mos
LPL Financial LLCBroker
June 2026 - Present · 4 mos
Previous Registrations
LPL Financial LLC
June 2026 - June 2026 · 0 mos
Independent Solutions Wealth Management, LLC
August 2024 - July 2026 · 1 yr 11 mos
Peak Brokerage Services, LLCBroker
August 2024 - July 2026 · 1 yr 11 mos
Osaic Wealth, INC.
September 2023 - August 2024 · 11 mos
Osaic Wealth, INC.Broker
September 2023 - August 2024 · 11 mos
Sagepoint Financial, INC.
April 2021 - September 2023 · 2 yrs 5 mos
Sagepoint Financial, INC.Broker
November 2020 - September 2023 · 2 yrs 10 mos
Sage, Rutty & CO., INC.Broker
February 2016 - November 2020 · 4 yrs 9 mos
Leigh Baldwin & CO., LLCBroker
June 2013 - February 2016 · 2 yrs 8 mos
Wall Street Financial Group, INC.Broker
July 2011 - June 2013 · 1 yr 11 mos
Ensemble Financial Services, INC.
March 2011 - August 2011 · 5 mos
Ensemble Financial Services, INC.Broker
January 2007 - August 2011 · 4 yrs 7 mos
Cambridge Investment Research, INC.Broker
April 2005 - January 2007 · 1 yr 9 mos
Linsco/private Ledger CORP.
January 2002 - April 2005 · 3 yrs 3 mos
Linsco/private Ledger CORP.Broker
July 1999 - April 2005 · 5 yrs 9 mos
M&t Securities, INC.Broker
May 1995 - July 1999 · 4 yrs 2 mos
Liberty Securities CorporationBroker
November 1993 - May 1995 · 1 yr 6 mos
Citicorp Financial Services,inc.Broker
January 1992 - June 1992 · 5 mos
Citicorp Investment ServicesBroker
January 1992 - September 1992 · 8 mos
R.B. Webster Investments, INC.Broker
August 1991 - January 1992 · 5 mos
Princeton Financial Group, INC.Broker
March 1989 - August 1991 · 2 yrs 5 mos
Power Securities CorporationBroker
September 1988 - February 1989 · 5 mos
State Registrations6 states
AZFLNCNMNYSC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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