Gary C. Valenti
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.
Gary Casper Valenti was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 17 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
December 10, 2012 - September 9, 2015
LPL FINANCIAL LLC
November 6, 2012 - September 9, 2015
LPL FINANCIAL LLC
September 14, 2009 - November 10, 2010
VOYA INVESTMENT MANAGEMENT CO. LLC
September 9, 2009 - November 10, 2010
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 22, 2008 - August 24, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 1, 2006 - January 9, 2007
MML DISTRIBUTORS, LLC
June 8, 1998 - August 31, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 11, 1996 - October 23, 1997
VP DISTRIBUTORS LLC
September 19, 1995 - September 20, 1996
FSC SECURITIES CORPORATION
April 19, 1994 - January 23, 1995
INVEST FINANCIAL CORPORATION
September 12, 1992 - May 6, 1994
G. R. PHELPS & CO., INC.
January 28, 1991 - August 14, 1992
METROPOLITAN LIFE INSURANCE COMPANY
January 28, 1991 - August 14, 1992
MSI FINANCIAL SERVICES, INC.
November 24, 1989 - December 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - January 9, 1991
OSAIC WEALTH, INC.
September 19, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 9, 1987 - October 10, 1988
TURCAN FINANCIAL GROUP, INC.
December 26, 1986 - May 27, 1987
MOORE & SCHLEY, CAMERON & CO.
July 12, 1982 - August 28, 1986
FORESTERS 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 |
| 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.
