Lisa R. Vanarsdale
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.
Lisa Rickman Vanarsdale, who also goes by Lisa Rickman Hanson, Lisa Vaughan Rickman, Lisa R Van Arsdale, Lisa Rickman Van Arsdale, Lisa Vaughan Vanarsdale, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1982. Lisa had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2022 - June 15, 2023
LPL FINANCIAL LLC
April 28, 2022 - June 15, 2023
LPL FINANCIAL LLC
October 14, 2013 - April 14, 2022
LPL FINANCIAL LLC
October 14, 2013 - April 13, 2022
LPL FINANCIAL LLC
January 16, 2008 - September 25, 2013
TRUIST INVESTMENT SERVICES, INC.
August 21, 2003 - September 25, 2013
TRUIST INVESTMENT SERVICES, INC.
September 24, 2001 - July 18, 2003
OSAIC FA, INC.
August 6, 2001 - July 18, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 6, 2001 - July 18, 2003
OSAIC FA, INC.
May 31, 2000 - August 15, 2001
EQUITABLE ADVISORS, LLC
February 24, 1993 - April 18, 2000
CRESTAR SECURITIES CORPORATION
October 27, 1989 - February 25, 1993
BRANCH, CABELL & CO., INC.
December 15, 1987 - August 3, 1989
FIRST UNION CAPITAL MARKETS CORP.
April 22, 1982 - May 31, 1983
BRANCH, CABELL & CO., 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 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
