Lori J. Fladeland
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.
Lori Jeanne Fladeland, who also goes by Lori Jeanne Lincoln, Lori Schachtler, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1984. Lori had worked at 11 firms and has passed the 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
April 24, 2023 - April 18, 2024
LPL FINANCIAL LLC
February 2, 2022 - December 31, 2022
ST. BERNARD FINANCIAL SERVICES, INC.
January 13, 2020 - December 31, 2021
ST. BERNARD FINANCIAL SERVICES, INC.
March 18, 2014 - December 18, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 8, 2013 - December 11, 2013
FORESTERS EQUITY SERVICES, INC.
May 8, 2013 - December 11, 2013
FORESTERS EQUITY SERVICES, INC.
May 24, 2012 - September 8, 2012
LPL FINANCIAL LLC
May 11, 2012 - September 8, 2012
LPL FINANCIAL LLC
March 22, 2012 - April 20, 2012
BOK FINANCIAL SECURITIES, INC.
August 22, 2011 - April 20, 2012
BOK FINANCIAL SECURITIES, INC.
March 15, 2010 - August 16, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 28, 1999 - January 14, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 8, 1997 - January 13, 2000
WELLS FARGO SECURITIES INC.
February 13, 1997 - August 14, 1997
BANC ONE SECURITIES CORPORATION
July 25, 1995 - February 10, 1997
PIPER SANDLER & CO.
October 26, 1984 - December 1, 1989
INVEST FINANCIAL 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
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.
