Donald M. Faller
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.
Donald Mark Faller, who also goes by Don Faller, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 28 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
May 31, 2011 - September 24, 2015
LPL FINANCIAL LLC
May 12, 2011 - September 24, 2015
LPL FINANCIAL LLC
April 18, 2006 - May 25, 2011
OSAIC SERVICES, INC.
April 7, 2006 - May 25, 2011
OSAIC SERVICES, INC.
February 21, 2006 - May 5, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 3, 2004 - May 5, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 18, 2002 - April 16, 2003
CBIZ FINANCIAL SOLUTIONS, INC.
July 5, 2001 - April 16, 2003
CBIZ FINANCIAL SOLUTIONS, INC.
July 18, 2000 - December 21, 2000
NATIONAL PLANNING CORPORATION
November 24, 1998 - July 7, 1999
CORPORATE BENEFITS ASSET MANAGEMENT, INC.
November 19, 1989 - April 19, 1996
OSAIC WEALTH, INC.
July 10, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 10, 1985 - November 12, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 10, 1985 - November 12, 1998
OSAIC FA, INC.
September 25, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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 28
Date: 8/28/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
