Steven M. Barnett
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.
Steven Martin Barnett was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1983. Steven had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - June 2, 2020
LPL FINANCIAL LLC
June 4, 2010 - February 14, 2018
INVEST FINANCIAL CORPORATION
March 9, 2007 - June 9, 2010
INVESTORS CAPITAL CORP.
February 21, 2006 - March 1, 2007
J. W. COLE ADVISORS, INC.
September 30, 2005 - March 1, 2007
J.W. COLE FINANCIAL, INC.
August 29, 1997 - February 15, 2006
SPC
July 11, 1994 - September 16, 2005
SIGMA FINANCIAL CORPORATION
June 5, 1991 - February 7, 1992
KEOGLER, MORGAN & COMPANY, INC.
November 5, 1990 - May 30, 1991
OSAIC WEALTH, INC.
March 30, 1990 - October 17, 1990
SECURITIES RESEARCH, INC. OF FLORIDA
January 13, 1989 - December 5, 1989
LEHMAN BROTHERS INC.
September 27, 1988 - December 8, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
May 16, 1988 - September 12, 1988
F.N. WOLF & CO., INC.
February 2, 1987 - May 19, 1988
SHERWOOD CAPITAL, INC.
November 22, 1983 - February 2, 1987
FIRST JERSEY SECURITIES, 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
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.
