Edward C. Flynn
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.
Edward Charles Flynn, who also goes by Edward Charles Flynn, Cfp®, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, 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
July 27, 2007 - November 11, 2014
LPL FINANCIAL LLC
July 20, 2007 - November 11, 2014
LPL FINANCIAL LLC
July 22, 2004 - January 21, 2015
NORTHEAST PLANNING ASSOCIATES, INC.
November 21, 2003 - September 29, 2004
MUTUAL SERVICE CORPORATION
November 10, 2003 - December 31, 2007
MUTUAL SERVICE CORPORATION
August 25, 2000 - November 13, 2003
VERAVEST INVESTMENT ADVISORS, INC.
July 7, 2000 - November 12, 2003
VERAVEST INVESTMENTS, INC.
January 20, 2000 - June 28, 2000
PARK AVENUE SECURITIES LLC
July 7, 1999 - January 6, 2000
LPL FINANCIAL LLC
September 5, 1996 - August 24, 1999
VERAVEST INVESTMENTS, INC.
November 14, 1991 - September 4, 1996
GUARDIAN INVESTOR SERVICES LLC
August 11, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 11, 1986 - November 30, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 11, 1986 - November 30, 1990
OSAIC FA, INC.
September 10, 1984 - January 1, 1986
INVESTACORP, INC.
July 14, 1983 - October 24, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
