Individual Firm
at
LPL FINANCIAL LLC (CRD# 6413 / SEC# 8-17668)
Firm registration as a brokerage firm and/or investment advisor firm
Brokerage Firm
Investment Adviser Firm
Disclosures include customer complaints, regulatory actions and criminal convictions
155 Disclosure(s)
Registration history for the brokerage firm, including owners and officers and legal classification
This firm was formed in California on 11/15/2010.
This firm is classified as a Limited Liability Company.
Qualifications including state licenses for the brokerage firm and what kinds of business it conducts
This firm is registered with:
the SEC
1 Self-Regulatory Org
53 U.S. states and territories
Firm registration as a brokerage firm and/or investment advisor firm
Brokerage Firm
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
Individuals who work for broker-dealers—the sales personnel whom most people call brokers—are technically known as registered representatives.
Investment Adviser Firm
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.
Disclosures include customer complaints, regulatory actions and criminal convictions
This firm has disclosure events. See detailed report for more information.
Disclosure(s)
Regulatory Event
97
Arbitration
54
Bond
4
Registration history for the brokerage firm, including owners and officers and legal classification
This firm was formed in California on 11/15/2010. This firm is classified as a Limited Liability Company.
Main Office Location
75 STATE STREET, 22ND FLOOR
BOSTON, MA  02109
Mailing Address
75 STATE STREET, 22ND FLOOR
BOSTON, MA  02109
Business Telephone Number
617-423-3644
Its fiscal year ends in December.
Regulated by the FINRA Boston district office.
Direct Owners and Executive Officers
LPL HOLDINGS, INC. - MANAGING MEMBER
ARNOLD, DAN HOGAN JR (CRD# 2557410) - PRESIDENT
AUDETTE, MATTHEW JON (CRD# 4003349) - CHIEF FINANCIAL OFFICER
AULETTA, SUZANNE ELIZABETH (CRD# 1418817) - EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE
BERGERS, DAVID PAUL (CRD# 6238852) - MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS
CALDER, TRACY ELLEN (CRD# 2611255) - MANAGING DIRECTOR, DEPUTY CHIEF RISK OFFICER
CASADY, MARK STEPHEN (CRD# 2313239) - CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER
FETTER, VICTOR PETER III (CRD# 6147410) - MANAGING DIRECTOR, CHIEF INFORMATION OFFICER
GOOLEY, THOMAS ANDREW (CRD# 4526760) - MANAGING DIRECTOR, SERVICE, TRADING & OPERATIONS
KALBAUGH, JOHN ANDREW (CRD# 1821773) - MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INSTITUTION SERVICES
LARSEN, SALLIE REBECCA (CRD# 6061146) - MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER
MIDDLEMISS, PAUL (CRD# 2069562) - EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY
MORRISSEY, WILLIAM PAUL JR (CRD# 1575389) - MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INDEPENDENT ADVISOR SERVICES
OROSCHAKOFF, MICHELLE (CRD# 2403199) - MANAGING DIRECTOR, CHIEF RISK OFFICER
WHITE, GEORGE BURTON (CRD# 3057759) - MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER, RESEARCH
Qualifications including state licenses for the brokerage firm and what kinds of business it conducts
Firm Operations:

This firm conducts 17 types of businesses.
This firm is affiliated with financial or investment institutions.
This firm does not have referral or financial arrangements with other brokers or dealers.
This firm is registered with:
the SEC
1 Self-Regulatory Org
53 U.S. states and territories
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Puerto Rico
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virgin Islands
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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