Denise Filardo
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.
Denise Filardo, who also goes by Denise T Filardo, Denise Trotta, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1987. Denise had worked at 13 firms and has passed the Series 66, 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
July 21, 2021 - March 21, 2025
LPL FINANCIAL LLC
July 21, 2021 - March 21, 2025
LPL FINANCIAL LLC
July 12, 2011 - July 21, 2021
WADDELL & REED
July 12, 2011 - July 21, 2021
WADDELL & REED
May 17, 2011 - June 28, 2011
CREATIVEONE SECURITIES, LLC
March 11, 2011 - June 28, 2011
CREATIVEONE SECURITIES, LLC
June 8, 2010 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 1, 2010 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 8, 2008 - April 24, 2009
INVESTACORP, INC.
February 26, 2008 - June 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2008 - June 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2007 - January 8, 2008
WADDELL & REED
May 21, 2007 - January 8, 2008
WADDELL & REED
August 4, 2000 - October 5, 2001
MORGAN STANLEY DW INC.
March 16, 1993 - July 24, 2000
TUCKER ANTHONY INCORPORATED
September 25, 1991 - April 6, 1993
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 21, 1991
JJC SECURITIES CO., INC.
October 20, 1988 - May 29, 1990
JSC SECURITIES, INC.
April 8, 1987 - September 1, 1988
GRUNTAL & CO., L.L.C.
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.
