Eugenie M. Stackowitz
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.
Eugenie Maria Stackowitz, who also goes by Eugenie Stackowitz Cochran, Eugenie M Stackowitz, Gigi Stackowitz, was a registered financial professional .
Eugenie is a previously registered financial professional and started their career in finance in 1984. Eugenie had worked at 16 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 55, Series 27, Series 4, Series 53, Series 8 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 24, 2021 - May 27, 2026
LPL FINANCIAL LLC
March 24, 2021 - May 27, 2026
LPL FINANCIAL LLC
August 2, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
August 2, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
July 20, 2018 - April 9, 2019
WADDELL & REED
July 20, 2018 - April 9, 2019
WADDELL & REED
April 15, 2013 - July 23, 2018
MML INVESTORS SERVICES, LLC
December 24, 2008 - August 7, 2009
EQUITABLE ADVISORS, LLC
December 24, 2008 - August 7, 2009
EQUITABLE ADVISORS, LLC
May 19, 2004 - April 1, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 19, 2004 - April 1, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 16, 2003 - March 2, 2004
HANSEN SECURITIES AND FINANCIAL ADVISORS, INC
October 14, 2002 - January 22, 2003
MONY SECURITIES CORPORATION
December 14, 2001 - May 2, 2002
UBS CAPITAL MARKETS L.P.
September 14, 2000 - October 2, 2001
MESIROW FINANCIAL, INC.
April 8, 1998 - September 7, 2000
UBS CAPITAL MARKETS L.P.
October 22, 1996 - January 15, 1998
CANTOR FITZGERALD & CO.
October 18, 1995 - October 1, 1996
MORGAN STANLEY DW INC.
February 25, 1993 - March 22, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
September 4, 1990 - August 31, 1992
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
March 22, 1984 - April 4, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 55
Date: 3/2/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 6/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
| 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.
