Jackie L. Figliola
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.
Jackie Lisa Figliola, who also goes by Jackie Lisa Coyne, Jackie Lisa Lifschultz, Jackie Lifschultz, was a registered financial professional .
Jackie is a previously registered financial professional and started their career in finance in 1983. Jackie had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 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
March 26, 2012 - March 30, 2017
LPL FINANCIAL LLC
December 8, 2011 - March 21, 2012
CETERA WEALTH SERVICES, LLC
December 14, 2004 - January 5, 2010
VOYA FINANCIAL PARTNERS, LLC
April 25, 2001 - December 31, 2004
CETERA INVESTMENT SERVICES LLC
April 12, 2001 - November 1, 2001
COMPULIFE INVESTOR SERVICES, INC.
April 12, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
April 12, 2001 - December 31, 2003
LOCUST STREET SECURITIES, INC.
April 12, 2001 - March 29, 2004
FINANCIAL NORTHEASTERN SECURITIES, INC.
April 12, 2001 - December 31, 2004
CETERA ADVISORS LLC
April 12, 2001 - December 31, 2004
VOYA FINANCIAL ADVISORS, INC.
March 23, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
February 6, 1984 - December 31, 2004
CETERA WEALTH SERVICES, LLC
July 18, 1983 - January 27, 1984
ANGELES SECURITIES 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.
