Sy R. Lippman

L & S ADVISORS,

Los Angeles, CA 90025

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CRD#: 2899932

Professional summary

Sy Richard Lippman is a registered financial advisor currently at L & S ADVISORS, INC located in Los Angeles, California.

Sy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Sy has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

GENERAL PARTNER/PASSIVE INVESTOR OF ANTHEM LEASING ASSOC., NON-INVESTMENT RELATED, FILE TAX RETURNS ONLY, 0 HOURS/MO. SINCE 1982.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sy Richard Lippman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 1, 2008 - Present

L & S ADVISORS, INC

Office #1: 11766 Wilshire Blvd Suite 845, Los Angeles, CA 90025

RIA

CRD#: 140923

Los Angeles, CA

Past

November 4, 2005 - July 6, 2006

FCA CORP

RIA

CRD#: 110658

LOS ANGELES, CA

Past

July 23, 1997 - November 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 8, 1997 - November 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CENTURY CITY, CA

Past

July 2, 1997 - July 21, 1997

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/1/2008)

IAR

Texas
(12/2/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/30/1997

General Securities Representative Examination

Current Firm

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

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Contact information

Main Address

11766 Wilshire Blvd Suite 845, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 893-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

L & S ADVISORS FORM ADV PART 2A & 2B (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,691
AUM (Assets Under Management)	$ 1,052,549,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Sy R. Lippman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sy Richard Lippman's CRS (Customer Relationship Summary).

Certified licenses

Experience

L & S ADVISORS, INC

FCA CORP

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

L & S ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/1997

Series 7

Date: 6/30/1997

Current Firm

L & S ADVISORS, INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

L & S ADVISORS, INC

TRUST BUT VERIFY

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