Steven M. Simerka
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.
Steven Matthew Simerka, CIMA®, who also goes by Steven Simerka, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 16 firms and has passed the Series 63, Series 65, Series 7TO, 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
November 14, 2024 - December 4, 2024
LPL ENTERPRISE, LLC
November 14, 2024 - December 4, 2024
LPL ENTERPRISE, LLC
June 25, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
June 25, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
December 5, 2023 - June 24, 2024
CAPITAL FINANCIAL ADVISORY GROUP, LLC
July 22, 2022 - December 31, 2022
PORTSMOUTH FINANCIAL SERVICES
November 16, 2017 - May 2, 2023
FREEDOM INVESTMENT MANAGEMENT, INC.
October 19, 2012 - December 3, 2012
QUASAR DISTRIBUTORS, LLC
February 14, 2005 - September 25, 2008
OLD MUTUAL INVESTMENT PARTNERS
April 26, 2002 - February 18, 2005
VP DISTRIBUTORS LLC
April 22, 1997 - May 21, 2002
KA ASSOCIATES, LLC
February 8, 1996 - January 17, 1997
UBS ASSET MANAGEMENT (US) INC.
February 4, 1994 - July 24, 1995
NATIONSSECURITIES
July 31, 1993 - February 2, 1994
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 9, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
January 2, 1985 - December 5, 1985
MORGAN STANLEY DW INC.
September 20, 1984 - November 20, 1984
FIRST HERITAGE CORPORATION
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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 7TO
Date: 7/21/2022
General Securities Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
