Simon R. Dolezal
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.
Simon Richard Dolezal was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1982. Simon had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2023 - March 7, 2024
LPL FINANCIAL LLC
June 20, 2023 - March 7, 2024
LPL FINANCIAL LLC
October 4, 2018 - June 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2018 - June 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2011 - August 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2011 - August 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - November 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 14, 2007 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 29, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 30, 1997 - October 30, 1998
MORGAN STANLEY DW INC.
July 1, 1993 - July 7, 1997
FIRST UNION CAPITAL MARKETS CORP.
January 21, 1982 - October 19, 1993
CITIGROUP GLOBAL MARKETS 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 |
| 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.
