Peter Dubin

33 Years of Experience

Hewlett, NY

2 DisclosuresBroker

Peter Dubin is a registered investment advisor at LPL Financial LLC, based in Hewlett, NY, with 33 years of industry experience. Peter 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 Value	Annual Fee
Any	2.50%

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

1280 Broadway, Hewlett, NY, 11557

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History

Regulatory History (2)

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.

Judgment / Lien

October 2016

Customer Dispute

May 2009

Denied

View Full SEC Report How to Read Disclosures

Other Business Activities

Peter operates under the DBA Flagstar Wealth Services for his LPL business since February 2024. This activity is investment-related and conducted at his reported business location.

Employment History

Current Registrations

LPL Financial LLC

July 2019 - Present · 7 yrs 3 mos

LPL Financial LLC

June 2016 - Present · 10 yrs 4 mos

LPL Financial LLCBroker

June 2016 - Present · 10 yrs 4 mos

Previous Registrations

Financial Resources Group Investment Services, LLCBroker

April 2018 - August 2019 · 1 yr 4 mos

LPL Financial LLC

June 2016 - December 2017 · 1 yr 6 mos

Santander Securities

February 2015 - June 2016 · 1 yr 4 mos

Santander Securities LLCBroker

February 2015 - June 2016 · 1 yr 4 mos

Hsbc Securities (USA) INC.

July 2013 - January 2015 · 1 yr 6 mos

Hsbc Securities (USA) INC.Broker

June 2013 - January 2015 · 1 yr 7 mos

Gilford Financial CORP.

June 2012 - June 2013 · 1 yr

Gilford Securities IncorporatedBroker

May 2012 - June 2013 · 1 yr 1 mo

Citigroup Global Markets INC.

May 2007 - June 2012 · 5 yrs 1 mo

Citigroup Global Markets INC.Broker

May 2007 - June 2012 · 5 yrs 1 mo

Citicorp Investment ServicesBroker

November 2005 - May 2007 · 1 yr 6 mos

Citicorp Investment Services

November 2005 - May 2007 · 1 yr 6 mos

Banc of America Investment Services, INC.

June 2005 - December 2005 · 6 mos

Banc of America Investment Services, INC.Broker

October 2004 - December 2005 · 1 yr 2 mos

Quick & Reilly, INC.Broker

December 2003 - October 2004 · 10 mos

Citicorp Investment ServicesBroker

March 1999 - December 2003 · 4 yrs 9 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

August 1994 - March 1999 · 4 yrs 7 mos

Prudential Securities IncorporatedBroker

November 1992 - August 1994 · 1 yr 9 mos

State Registrations7 states

FLGANCNJNYOHSC

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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