George D. Fraunces
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.
George David Fraunces was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 18 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2023 - December 31, 2023
LPL FINANCIAL LLC
April 3, 2023 - July 15, 2024
LPL FINANCIAL LLC
August 2, 2018 - May 3, 2023
PLANMEMBER SECURITIES CORPORATION
August 1, 2018 - May 3, 2023
PLANMEMBER SECURITIES CORPORATION
November 10, 2017 - May 18, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 7, 2017 - May 18, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 2016 - July 6, 2017
WADDELL & REED
October 12, 2016 - July 6, 2017
WADDELL & REED
March 2, 2012 - September 30, 2016
LAWSON FINANCIAL CORPORATION
January 31, 2011 - August 10, 2011
WBI INVESTMENTS, LLC
December 15, 2010 - June 7, 2011
QUASAR DISTRIBUTORS, LLC
June 23, 2010 - September 22, 2010
BURCH & COMPANY, INC
July 11, 2008 - February 18, 2009
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 27, 2008 - February 18, 2009
PUTNAM INVESTMENT MANAGEMENT, LLC
July 3, 2006 - May 12, 2008
PLACEMARK INVESTMENTS, INC.
March 11, 2003 - June 6, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
June 9, 2000 - June 6, 2006
FAM DISTRIBUTORS, INC.
January 3, 1998 - September 14, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 1995 - December 17, 1996
LONDON PACIFIC FINANCIAL & INSURANCE SERVICES
May 17, 1989 - December 21, 1993
PLANMEMBER SECURITIES CORPORATION
November 12, 1986 - January 1, 1988
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1986 - November 25, 1986
LOWRY, BITTEL, PERROT & CO. SECURITIES, INC.
September 25, 1984 - April 24, 1986
FIRST JERSEY 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.
