Wynn R. Hall
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.
Wynn Ryle Hall, who also goes by Wynn R Hall, was a registered financial professional .
Wynn is a previously registered financial professional and started their career in finance in 1990. Wynn had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2025 - April 10, 2026
LPL FINANCIAL LLC
May 1, 2025 - April 10, 2026
LPL FINANCIAL LLC
December 13, 2013 - May 1, 2025
SCF INVESTMENT ADVISORS, INC.
December 13, 2013 - May 1, 2025
SCF SECURITIES, INC.
January 25, 2011 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
January 3, 2011 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
November 16, 2006 - December 31, 2010
HORNOR, TOWNSEND & KENT, LLC
November 16, 2006 - December 31, 2010
HORNOR, TOWNSEND & KENT, LLC
October 30, 2002 - December 1, 2006
MSI FINANCIAL SERVICES, INC.
July 30, 2002 - December 1, 2006
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 2002 - December 1, 2006
MSI FINANCIAL SERVICES, INC.
December 10, 2001 - August 27, 2002
EQUITY SERVICES, INC.
March 23, 2001 - August 27, 2002
EQUITY SERVICES, INC.
September 14, 2000 - March 22, 2001
CETERA WEALTH SERVICES, LLC
March 1, 1996 - September 26, 2000
MML INVESTORS SERVICES, LLC
July 13, 1990 - March 1, 1996
G. R. PHELPS & CO., 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 62
Date: 2/5/2000
Corporate Securities Limited Representative ExaminationCurrent 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.
