Jeannie A. Silvester
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.
Jeannie Alice Silvester, who also goes by Jeannie Alice Feldman, Jeannie A Ortega, Jeannie Alice Feldman Silvester, Jeannie Alicefeldman Silvester, Jean Taylor, was a registered financial professional .
Jeannie is a previously registered financial professional and started their career in finance in 1982. Jeannie had worked at 9 firms and has passed the Series 65, Series 63 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
December 19, 2011 - April 2, 2012
LPL FINANCIAL LLC
December 5, 2011 - April 2, 2012
LPL FINANCIAL LLC
February 2, 2011 - December 5, 2011
FIRST ALLIED SECURITIES, INC.
December 10, 2010 - December 5, 2011
FIRST ALLIED SECURITIES, INC.
May 29, 2007 - October 7, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 7, 2010
CITIGROUP GLOBAL MARKETS INC.
November 11, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 7, 1996 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 18, 1995 - May 2, 1996
CHEMICAL INVESTMENT SERVICES CORP.
February 21, 1994 - May 5, 1995
FLEET ENTERPRISES, INC.
August 30, 1993 - February 3, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 30, 1993 - February 3, 1994
EQUITABLE ADVISORS, LLC
August 30, 1982 - August 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
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.
