Deborah L. Burdick
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.
Deborah Lea Burdick was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1985. Deborah had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3 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
October 2, 2014 - July 29, 2016
LPL FINANCIAL LLC
April 22, 2014 - August 27, 2014
MSI FINANCIAL SERVICES, INC.
May 6, 2013 - April 1, 2014
ADVISOR RESOURCE COUNCIL
November 22, 2010 - April 11, 2014
LPL FINANCIAL LLC
November 22, 2010 - April 11, 2014
LPL FINANCIAL LLC
March 21, 2007 - November 23, 2010
EDWARD JONES
April 11, 2005 - November 23, 2010
EDWARD JONES
March 17, 1997 - March 23, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 9, 1996 - November 7, 1996
NATIONWIDE SECURITIES, LLC
February 2, 1995 - April 13, 1995
IDS LIFE INSURANCE COMPANY
February 2, 1995 - April 13, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 1993 - February 22, 1995
NATIONSSECURITIES
November 11, 1987 - November 10, 1992
WELLS FARGO SECURITIES INC.
June 19, 1986 - March 6, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 24, 1985 - June 25, 1986
E. F. HUTTON & COMPANY INC
February 21, 1985 - July 3, 1985
INTERFIRST CAPITAL 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.
