LPL FINANCIAL LLC of FORT MILL, SC is an SEC-registered investment adviser (CRD 6413). Regulatory assets under management: $819.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Other.
Showing 25 of 92 people.
| Name | Role | Location |
|---|---|---|
| Matthew Jon Audette | PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Richard C Steinmeier | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Matthew Klaus Enyedi | MANAGING DIRECTOR, NATIONAL SALES | — |
| Judith Kohoskie Ricketts | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | — |
| Gregory Gates | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | — |
| Brent Blain Simonich | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | — |
| Aneri Jambusaria | MANAGING DIRECTOR LPL SERVICES GROUP | — |
| Steven Thomas Malfitano | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | — |
| James Mchale | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Matthew Edwin Morningstar | CHIEF LEGAL OFFICER | — |
| Althea Ann-Marie Brown | MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR | — |
| Labkhand Sara Dadyar | MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER | — |
| MCDERMOTT JOHN JEROME JR | CHIEF RISK OFFICER; MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER; MANAGING DIRECTOR, CHIEF RISK OFFICER | — |
| KALBAUGH JOHN ANDREW | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INSTITUTION SERVICES; MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, NATIONAL SALES & CONSULTING; MANAGING DIRECTOR AND PRESIDENT, INSTITUTION SERVICES (+1 more) | — |
| AUDETTE MATTHEW JON | CHIEF FINANCIAL OFFICER; MANAGING DIRECTOR AND DIRECTOR, CHIEF FINANCIAL OFFICER; MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER (+3 more) | — |
| BROWN STEPHANIE LEIGH | CLO, MANAGING DIRECTOR; GENERAL COUNSEL, MANAGING DIRECTOR; MANAGING DIRECTOR, GENERAL COUNSEL | — |
| LOPEZ MARK GEORGE | MANAGING DIRECTOR | — |
| STEARNS ESTHER MARION | CHIEF INFORMATION OFFICER, MANAGING DIRECTOR; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, PRESIDENT (+6 more) | — |
| BLACK STEVEN MARK | MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF RISK OFFICER; SENIOR VICE PRESIDENT | — |
| ANDERSON LINCOLN FOREST | CHEIF INVESTMENT OFFICER, MANAGING DIRECTOR; CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR | — |
| NAUSS DONNA LYNNE HOUSTON | CCO - ADVISORY, SENIOR VICE PRESIDENT; CCO - ADVISORY, VICE PRESIDENT; CHIEF COMPLIANCE OFFICER - ADVISORY, SENIOR VICE PRESIDENT (+1 more) | — |
| CASADY MARK STEPHEN | CEO, PRESIDENT; CEO, PRESIDENT, COB; CHAIRMAN & CHIEF EXECUTIVE OFFICER (+5 more) | — |
| DWYER WILLIAM EDWARD III | MANAGING DIRECTOR; MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES; MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING (+1 more) | — |
| TUORTO JOSEPH PAUL | CCO - BROKERAGE, EXECUTIVE VICE PRESIDENT; CCO - BROKERAGE, MANAGING DIRECTOR, CROP, SROP; CHIEF COMPLIANCE OFFICER - BROKERAGE, MANAGING DIRECTOR, CROP, SROP (+3 more) | — |
| MAHER CHARLES WILLIAM | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR; MANAGING DIRECTOR, ADMINISTRATION | — |
Showing 10 of 184 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-07-09 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS (OFFICE) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANCIAL L… | Final | $20K |
| 2026-06-26 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE COLORADO DIVISION OF SECURITIES (DIVISION) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANCIAL LLC (LPL)… | Final | $20K |
| 2026-06-05 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE CALIFORNIA DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION (DEPARTMENT) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30,… | Final | $20K |
| 2026-06-04 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE MICHIGAN DEPARTMENT OF LICENSING AND REGULATORY AFFAIRS (DEPARTMENT) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025… | Final | $20K |
| 2026-04-23 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE SECURITIES DIVISION OF THE OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF SOUTH CAROLINA (DIVISION) ALLEGED THAT, FROM A… | Final | $20K |
| 2026-04-22 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE KENTUCKY DEPARTMENT OF FINANCE INSTITUTIONS (DEPARTMENT) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANC… | Final | $20K |
| 2026-04-21 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE IDAHO DEPARTMENT OF FINANCE (DEPARTMENT) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANCIAL LLC (LPL) CH… | Final | $20K |
| 2026-04-07 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE PUERTO RICO OFFICE OF THE COMMISSIONER OF FINANCIAL INSTITUTIONS (OCFI) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2… | Final | $20K |
| 2026-04-02 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE MAINE OFFICE OF SECURITIES (OFFICE) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANCIAL LLC (LPL) CHARGED… | Final | $20K |
| 2026-03-27 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA), THE FLORIDA OFFICE OF FINANCIAL REGULATION (OFFICE) ALLEGED THAT, FROM APRIL 30, 2020 TO APRIL 30, 2025, LPL FINANCIAL LLC (… | Final | $20K |