John A. Esposito
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.
John Anthony Esposito, who also goes by John Esposito, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2023 - February 20, 2025
LPL FINANCIAL LLC
November 7, 2017 - February 9, 2023
SECURITIES AMERICA, INC.
September 22, 2009 - November 10, 2017
NATIONAL PLANNING CORPORATION
February 2, 2009 - September 21, 2009
ALLSTATE FINANCIAL SERVICES, LLC
March 31, 2006 - February 2, 2009
NATIONAL PLANNING CORPORATION
January 15, 2004 - April 3, 2006
OSAIC FS, INC.
September 26, 2001 - December 31, 2003
MML INVESTORS SERVICES, LLC
July 29, 1999 - October 12, 2001
LOCUST STREET SECURITIES, INC.
November 25, 1997 - November 3, 1999
FFP SECURITIES, INC.
February 9, 1996 - December 9, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 9, 1996 - December 9, 1997
OSAIC FA, INC.
September 19, 1990 - January 22, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 19, 1990 - January 22, 1993
OSAIC FA, INC.
August 21, 1989 - December 31, 1995
POLARIS FINANCIAL SERVICES, INC.
May 20, 1988 - January 1, 1989
J. T. MORAN & CO., INC.
September 23, 1983 - February 9, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 4, 1983 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
January 7, 1982 - March 11, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, 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
Current 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
