Deanna L. Gephart
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.
Deanna Lynn Gephart, CFP®, who also goes by Deanna Lynn Barr, was a registered financial professional .
Deanna is a previously registered financial professional and started their career in finance in 1987. Deanna had worked at 10 firms and has passed the Series 65, 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
Start date: 2007
Experience
February 4, 2019 - October 8, 2020
LPL FINANCIAL LLC
October 27, 2014 - November 5, 2025
PRIVATE ADVISOR GROUP, LLC
October 24, 2014 - October 7, 2025
LPL FINANCIAL LLC
March 29, 2011 - November 5, 2014
APW CAPITAL, INC.
December 15, 2009 - March 21, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 20, 2009 - November 7, 2014
HUDOCK CAPITAL GROUP
April 7, 2006 - March 21, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 2, 2004 - March 30, 2006
EMPOWER FINANCIAL SERVICES, INC.
November 30, 2001 - August 11, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 18, 1994 - December 5, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1993 - July 15, 1994
KIDDER, PEABODY & CO. INCORPORATED
December 2, 1992 - December 10, 1992
ESSEX NATIONAL SECURITIES, LLC
January 21, 1987 - November 3, 1992
ALEX. BROWN & SONS INCORPORATED
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.
