Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dean? Claim Your ProfileDean James Brockway is a financial advisor with LPL Financial LLC. Dean has been in the financial industry since 1985, serving clients in several states. He is registered with the state of New York as a Registered Representative and Investment Advisor Representative. Dean has experience in providing financial planning, investment management, and other non-discretionary advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
05/02/2023 - Present
LPL Financial LLC (BATH NY)
NY
04/09/2001 - 10/16/2013
FIVE STAR INVESTMENT SERVICES, INC. (BATH NY)
NY
10/23/1998 - 04/09/2001
CADARET, GRANT & CO., INC. (SYRACUSE NY)
AZ
08/27/1998 - 10/28/1998
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MD
05/01/1995 - 08/24/1998
M&T SECURITIES, INC. (BALTIMORE MD)
NY
05/13/1988 - 05/01/1995
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
05/05/1987 - 05/17/1988
PAMCO SECURITIES AND INSURANCE SERVICES
NA
02/10/1987 - 11/03/1987
GREAT LAKES EQUITIES CO.
NA
09/25/1985 - 03/02/1987
MICHAEL C. TALLEY & CO., INC.
BOTH
Issued 12/27/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/13/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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