Edward J. Bosch
Professional summary
Edward Joseph Bosch SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Edward had worked at 7 firms, which includes LPL FINANCIAL LLC, INDEPENDENT FINANCIAL PARTNERS, SIGNATOR INVESTORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., WOODBURY FINANCIAL SERVICES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2011 - January 3, 2012
LPL FINANCIAL LLC
January 5, 2011 - March 10, 2016
INDEPENDENT FINANCIAL PARTNERS
December 10, 2010 - March 9, 2016
LPL FINANCIAL LLC
January 21, 2003 - December 10, 2010
SIGNATOR INVESTORS, INC.
July 17, 2001 - December 10, 2010
SIGNATOR INVESTORS, INC.
December 16, 1992 - June 28, 2001
METROPOLITAN LIFE INSURANCE COMPANY
December 16, 1992 - June 28, 2001
MSI FINANCIAL SERVICES, INC.
May 19, 1986 - December 31, 1989
WOODBURY FINANCIAL SERVICES, INC.
May 23, 1983 - March 4, 1986
PRUCO SECURITIES, 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.
