Stephen A. Cheek
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.
Stephen Alan Cheek MR., who also goes by Stephen Alan Cheek, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 15 firms and has passed the Series 66, 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
Experience
October 27, 2016 - June 6, 2022
LPL FINANCIAL LLC
October 13, 2016 - June 6, 2022
LPL FINANCIAL LLC
August 4, 2008 - October 5, 2010
DEMARCHE
July 4, 2008 - October 5, 2010
KANSAS CITY BROKERAGE. INC
August 3, 2004 - July 12, 2006
ICON DISTRIBUTORS, INC.
April 9, 2001 - August 4, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
December 17, 1998 - April 19, 1999
ROYCE FUND SERVICES, LLC
March 20, 1997 - September 30, 1998
GROVE POINT INVESTMENTS, LLC
August 9, 1995 - January 20, 1997
PACIFIC SELECT DISTRIBUTORS, LLC
February 24, 1995 - April 26, 1995
NICHOLAS-APPLEGATE SECURITIES LLC
June 24, 1992 - December 31, 1994
AMERICAN CAPITAL MARKETING, INC.
July 3, 1990 - April 17, 1995
CAREY FINANCIAL, LLC
February 1, 1989 - August 8, 1989
GEODYNE SECURITIES, INC.
December 15, 1986 - June 16, 1992
UBS FINANCIAL SERVICES INC.
May 3, 1985 - May 19, 1986
MCNEIL SECURITIES CORPORATION
September 11, 1984 - April 22, 1985
LANG AND COMPANY
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.
