Wappingers Falls, NY Rt 9 Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,716

Across 10,450 offices

Clients per advisor

86 Typical

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

About

LPL Financial is an SEC‑registered investment adviser and broker‑dealer that serves individuals (including high‑net‑worth and non‑HNW clients), retirement plans and plan participants, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives (IARs). The firm offers financial planning, a variety of advisory programs (wrap, model and TAMP offerings), retirement plan consulting, 529 account management, and brokerage services, with program descriptions and client agreements provided through the IARs.

The firm provides both discretionary and non‑discretionary management across its programs and makes available model portfolios and research from LPL Research, third‑party subadvisors, and TAMP sponsors; LPL Research describes strategic (three‑ to five‑year) and tactical model approaches and supports diversified and alternative strategies. LPL also offers overlay portfolio management, direct indexing options, the Bank Wealth Program for institutional clients, and participant advice programs (IPA/OPA), and discloses use of technologies such as machine learning along with broad risk disclosures for many security types.

Compared with many peers, LPL’s brochure documents a substantial scope of non‑advisory product activity—an affiliated insurance agency (LPLIA) and continued insurance product sales by IARs, a collateralized lending program including LPL’s Secured Credit Account, and a credit‑card offering through a partner bank—alongside its advisory businesses. The brochure also discloses that LPL advertises performance results but does not present hypothetical performance, and it includes a summary of recent regulatory enforcement matters and remedial undertakings.

Based on LPL Financial

Location

1289 Rt 9, Suite 3

Wappingers Falls NY 12590

Advisors at this office

4

Advisors at this office

user avatar

William S

Series 63, Series 65

Wappingers Falls, NY

LPL Financial

William Settembrino is a financial advisor with LPL Financial who holds Series 63 and Series 65 designations and has 30 years of industry experience. He previously worked at Professional Financial Consultants for 25 years and at Cadaret, Grant & Co., Inc. for 28 years. Outside of his advisory role, he is the president and owner of Allset Consultants. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a range of advisory programs and financial planning services, utilizing model portfolios, third-party subadvisors, and technology-driven strategies.

College savings (529s, UTMA, etc.)
user avatar

Zachary L

Series 66

Wappingers Falls, NY

LPL Financial

Zachary Landy is a financial advisor with LPL Financial, holding a Series 66 designation and one year of industry experience. Prior to joining LPL Financial in 2025, he worked at Cadaret, Grant & Co., Inc. and has experience in collegiate athletics and player development, including roles at Vassar College, Utica University, and Mohawk Valley Baseball Academy. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a nationwide network of investment adviser representatives, offering a range of advisory programs, financial planning, and retirement consulting services.

College savings (529s, UTMA, etc.)
user avatar

Aaron V

CFP®, Series 63, Series 65

Wappingers Falls, NY

LPL Financial

Aaron Verdile is a Certified Financial Planner® with 13 years of industry experience, currently affiliated with LPL Financial. He previously worked at Cadaret, Grant & Co., Inc. and Pruco Securities LLC, and has been the owner of EXT Productions, LLC since 2001. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations through a national network of investment adviser representatives, offering a range of financial planning, advisory programs, and retirement plan consulting services.

College savings (529s, UTMA, etc.)
user avatar

Philip F

CFP®, Series 63

Wappingers Falls, NY

LPL Financial

Philip Fulco Jr. is a Certified Financial Planner® associated with LPL Financial, with 35 years of industry experience. He previously worked at Cadaret, Grant & Co., Inc. and Pinnacle Planning for 15 years and has operated Professional Financial Consultants since 2017. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and nonprofits through a broad network of investment adviser representatives. The firm offers various advisory programs and financial planning services, utilizing both discretionary and non-discretionary management supported by in-house and third-party research.

College savings (529s, UTMA, etc.)
View complete list of advisors at this office
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