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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Gregg Eisenstein

Advisor at LPL FINANCIAL LLC

STONY BROOK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jan 9, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 30, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 30, 1993
First registration: Jan 9, 2008
Dual registered: yes, broker-dealer
Other names: GREGG A EISENSTEIN|Gregg Eisenstein|GREGG ALAN EISENSTEIN
IAPD individual key: 2304443

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 20, 2026	n/a	yes	STONY BROOK, NY	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jan 23, 2025	Aug 11, 2026	no	NEW HYDE PARK, NY\|Smithtown, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 13, 2017	Apr 8, 2024	no	Forest Hills, NY\|Rego Park, NY\|Greenwich, CT\|Bay Shore, NY\|LONG ISLAND CITY, NY\|Jacksonville, FL\|Glen Head, NY\|Wantagh, NY\|Massapequa, NY\|North Babylon, NY\|Deer Park, NY\|East Northport, NY\|COMMACK, NY\|MASSAPEQUA PARK, NY\|Bay Shore, NY\|Holbrook, NY\|Port Jefferson, NY\|Smithtown, NY\|Hauppauge, NY\|Ronkonkoma, NY\|East Northport, NY\|Long Island City, NY\|Greenwich, CT\|Garden City, NY\|Mineola, NY\|Westbury, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Aug 31, 2015	Jan 4, 2018	no	BOHEMIA, NY\|MELVILLE, NY\|MILLER PLACE, NY\|HUNTINGTON STATION, NY\|HUNTINGTON, NY\|SOUTH SETAUKET, NY\|OYSTER BAY, NY\|EAST NORTHPORT, NY\|EAST SETAUKET, NY\|PORT JEFFERSON, NY\|LAKE RONKONKOMA, NY\|BELLPORT, NY\|MASTIC, NY\|SOUTH SETAUKET, NY\|BOHEMIA, NY\|HAUPPAUGE, NY	Previous registration
GERSTEIN FISHER	Former SEC adviser	Oct 7, 2014	Jun 18, 2015	no	NEW YORK, NY	Previous registration
THE MUTUAL FUND STORE	Former SEC adviser	Nov 7, 2012	Oct 14, 2014	no	OVERLAND PARK, KS	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 31, 2012	no	GREENLAWN, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 29, 2010	Oct 1, 2012	no	NORTHPORT, NY\|GREENLAWN, NY\|GREENLAWN, NY\|DIX HILLS, NY\|NORTHPORT, NY	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Jan 9, 2008	May 13, 2009	no	WESTBURY, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HSBC SECURITIES (USA) INC.	LPL FINANCIAL LLC	Aug 11, 2026	Jul 20, 2026	-22	Firm change	Ibd to ibd
CITIGROUP GLOBAL MARKETS INC.	HSBC SECURITIES (USA) INC.	Apr 8, 2024	Jan 23, 2025	290	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	CITIGROUP GLOBAL MARKETS INC.	Jan 4, 2018	Dec 13, 2017	-22	Firm change	Other
GERSTEIN FISHER	HSBC SECURITIES (USA) INC.	Jun 18, 2015	Aug 31, 2015	74	Firm change	Other
THE MUTUAL FUND STORE	GERSTEIN FISHER	Oct 14, 2014	Oct 7, 2014	-7	Firm change	Other
J.P. MORGAN SECURITIES LLC	THE MUTUAL FUND STORE	Oct 31, 2012	Nov 7, 2012	7	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WALNUT STREET SECURITIES, INC.	CHASE INVESTMENT SERVICES CORP.	May 13, 2009	Jun 29, 2010	412	Firm change after gap	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jan 23, 2025 to Aug 11, 2026factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 13, 2017 to Apr 8, 2024factForm ADV
→ GERSTEIN FISHERRegistered adviserregistration: previous registration
Oct 7, 2014 to Jun 18, 2015factForm ADV
→ THE MUTUAL FUND STORERegistered adviserregistration: previous registration
Nov 7, 2012 to Oct 14, 2014factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Oct 31, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 29, 2010 to Oct 1, 2012factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Jan 9, 2008 to May 13, 2009factForm ADV

Dated events

Occurred
Aug 11, 2026
Advisor changed firm
Gregg Eisenstein left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-07-20)
Form ADVobserved 4 days ago
Occurred
Apr 8, 2024
Advisor changed firm
Gregg Eisenstein left Citigroup Global Markets Inc. for Hsbc Securities (Usa) Inc. (registered 2025-01-23)
Form ADVobserved 4 days ago