Charles A. Blanchette
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.
Charles A Blanchette was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 8 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, 2023 - September 18, 2024
LPL FINANCIAL LLC
April 26, 2023 - December 5, 2025
LPL FINANCIAL LLC
September 7, 2016 - January 30, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 12, 2015 - January 30, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 19, 2008 - November 10, 2015
CETERA INVESTMENT SERVICES LLC
January 27, 2007 - June 18, 2007
CHARLES SCHWAB & CO., INC.
May 16, 2002 - January 17, 2006
CETERA INVESTMENT SERVICES LLC
November 2, 1999 - August 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1997 - September 15, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 6, 1996 - January 30, 1997
WELLS FARGO SECURITIES INC.
November 6, 1992 - May 2, 1995
U.S. BANCORP SECURITIES
May 29, 1992 - October 23, 1992
AMERITRADE NORTHWEST, INC.
March 2, 1987 - October 16, 1991
FIDELITY BROKERAGE SERVICES LLC
March 22, 1984 - March 3, 1987
LEHMAN BROTHERS 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 8
Date: 8/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
