Nancy L. Chisholm
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.
Nancy Lee Chisholm, who also goes by Nancy Lee Chisolm, Nancy Lee Kilgallon, Nancy Lee Kilgallonchisolm, Nancy Lee Kilgallonnchisolm, Nancy Lee Killgallon, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1983. Nancy had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7, Series 8 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - January 25, 2022
LPL FINANCIAL LLC
June 6, 2014 - January 25, 2022
LPL FINANCIAL LLC
January 3, 2012 - August 6, 2013
FOCUS PARTNERS WEALTH, LLC
January 20, 2011 - December 21, 2011
THE COLONY GROUP, LLC
April 21, 2002 - May 13, 2010
STRATEGIC ADVISERS LLC
September 7, 1994 - May 10, 2010
FIDELITY BROKERAGE SERVICES LLC
June 18, 1991 - September 7, 1994
FIDELITY DISTRIBUTORS COMPANY LLC
May 23, 1990 - June 14, 1991
FIDELITY DISTRIBUTORS CORPORATION
May 15, 1989 - May 23, 1990
FIDELITY DISTRIBUTORS COMPANY LLC
August 25, 1988 - June 14, 1991
FIDELITY DISTRIBUTORS CORPORATION
April 23, 1984 - June 15, 1987
FIDELITY BROKERAGE SERVICES LLC
June 9, 1983 - March 21, 1984
FIDELITY DISTRIBUTORS 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
Series 8
Date: 3/15/1995
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 |
| 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.
