John Trezza
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.
John Trezza JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 15 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
May 15, 2025 - January 15, 2026
LPL FINANCIAL LLC
May 15, 2025 - January 15, 2026
LPL FINANCIAL LLC
May 19, 2010 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
May 19, 2010 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
July 2, 2007 - May 17, 2010
OSAIC INSTITUTIONS, INC.
July 2, 2007 - May 17, 2010
OSAIC INSTITUTIONS, INC.
August 9, 2004 - June 29, 2007
CITIZENS SECURITIES, INC.
August 9, 2004 - June 29, 2007
CITIZENS SECURITIES, INC.
August 27, 2002 - August 6, 2004
QUICK & REILLY, INC.
April 25, 2001 - August 6, 2004
QUICK & REILLY, INC.
April 25, 1997 - December 31, 2000
MBSC, LLC
July 6, 1994 - April 17, 2001
DREYFUS INVESTMENT SERVICES COMPANY, LLC
April 29, 1994 - July 6, 1994
ESSEX NATIONAL SECURITIES, LLC
July 16, 1993 - May 3, 1994
SEI INVESTMENTS DISTRIBUTION CO.
August 3, 1992 - July 2, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 3, 1992 - July 2, 1993
OSAIC FA, INC.
June 24, 1989 - April 21, 1992
SIGNATOR INVESTORS, INC.
June 24, 1989 - March 3, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 15, 1986 - February 5, 1988
PHILIPS, APPEL & WALDEN, INC.
June 18, 1985 - January 22, 1986
FIRST JERSEY SECURITIES, INC.
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
