Debra H. Chandler
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.
Debra H Chandler, who also goes by Debbie H. Chandler, Debra Hicks Chandler, Debra Hicks Copeland, Debbie H. Freeman, Debra Hicks Freeman, Debra Hicks, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1983. Debra had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
August 27, 2018 - December 21, 2022
LPL FINANCIAL LLC
January 11, 2008 - January 5, 2018
INVESTMENT CENTERS OF AMERICA, INC.
June 8, 2007 - December 19, 2007
CAPITAL BROKERAGE CORPORATION
August 5, 2005 - November 22, 2005
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 5, 2005 - November 22, 2005
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 31, 2005 - June 13, 2005
JOHN HANCOCK DISTRIBUTORS LLC
April 13, 2005 - June 22, 2005
ESSEX NATIONAL SECURITIES, LLC
August 13, 2001 - March 23, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 1, 2000 - July 23, 2001
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 20, 1993 - April 20, 1999
FIRST UNION BROKERAGE SERVICES, INC.
January 1, 1992 - January 25, 1993
INVEST FINANCIAL CORPORATION
October 26, 1990 - January 13, 1992
CAPITAL BROKERAGE CORPORATION
July 18, 1990 - October 22, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 18, 1990 - October 22, 1990
OSAIC FA, INC.
July 19, 1989 - June 22, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
October 28, 1988 - April 27, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
October 22, 1985 - January 28, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
August 24, 1983 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
August 24, 1983 - November 1, 1985
THOMSON MCKINNON 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.
