Anne P. Redmiles
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.
Anne P Redmiles, who also goes by Anne Regina Puglisi, Anne Puglisi, Anne Puglisi Redmiles, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1984. Anne had worked at 10 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
January 23, 2024 - October 17, 2024
LPL FINANCIAL LLC
January 23, 2024 - October 17, 2024
LPL FINANCIAL LLC
July 8, 2021 - August 1, 2022
WASHINGTON SECURITIES CORPORATION
June 30, 2021 - August 1, 2022
WASHINGTON SECURITIES CORPORATION
May 30, 2019 - December 16, 2019
WOODSTOCK WEALTH MANAGEMENT, INC.
May 30, 2019 - December 11, 2019
WOODSTOCK FINANCIAL GROUP, INC.
January 23, 2017 - June 15, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 29, 2016 - June 15, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 6, 2016 - June 28, 2016
LOMBARD SECURITIES INCORPORATED
January 22, 1997 - November 12, 1997
CLARK MELVIN SECURITIES CORPORATION
November 4, 1992 - January 25, 1995
A. G. EDWARDS & SONS, INC.
April 18, 1991 - November 10, 1992
MORGAN STANLEY DW INC.
May 15, 1985 - October 9, 1989
CLARK MELVIN SECURITIES CORPORATION
September 20, 1984 - June 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
