Gilbert B. Acedo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gilbert Benjamin Acedo, who also goes by Gil Acedo, was a registered financial professional .
Gilbert is a previously registered financial professional and started their career in finance in 1981. Gilbert had worked at 20 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - September 12, 2018
LPL FINANCIAL LLC
February 14, 2018 - September 12, 2018
LPL FINANCIAL LLC
September 30, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
September 29, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
June 23, 2009 - September 26, 2011
U.S. BANCORP INVESTMENTS, INC.
February 20, 2009 - September 26, 2011
U.S. BANCORP INVESTMENTS, INC.
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
August 1, 2007 - March 4, 2008
IFMG SECURITIES, INC.
February 21, 2002 - August 9, 2007
DFC INVESTOR SERVICES
March 20, 2001 - February 19, 2002
NATIONAL PLANNING CORPORATION
February 18, 1998 - March 12, 2001
FISERV INVESTOR SERVICES, INC.
August 14, 1997 - February 18, 1998
AEGON USA SECURITIES INC.
August 9, 1994 - August 11, 1997
MARKETING ONE SECURITIES, INC.
February 8, 1994 - August 25, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
December 10, 1993 - February 23, 1994
GUARANTY BROKERAGE SERVICES, INC.
June 16, 1993 - May 3, 1994
LAM WAGNER, INC.
January 25, 1991 - May 27, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 30, 1990 - February 1, 1991
BROKERS INVESTMENT CORPORATION
August 21, 1989 - September 5, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 21, 1988 - September 12, 1989
IDS LIFE INSURANCE COMPANY
November 21, 1988 - September 12, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 1986 - November 9, 1988
KENNEDY, CABOT & CO.
September 30, 1985 - November 13, 1986
CHRISTOPHER WEIL & COMPANY, INC
May 23, 1984 - October 7, 1985
THOMSON MCKINNON SECURITIES INC.
December 10, 1981 - May 21, 1984
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
