Jack A. Becwar
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.
Jack Allen Becwar was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1985. Jack had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - January 14, 2021
LPL FINANCIAL LLC
September 3, 2020 - January 14, 2021
LPL FINANCIAL LLC
June 25, 2002 - September 3, 2020
SECURITIES AMERICA ADVISORS, INC.
January 2, 2002 - September 3, 2020
SECURITIES AMERICA, INC.
February 18, 1998 - January 3, 2002
AFS BROKERAGE, INC.
June 15, 1995 - February 18, 1998
AEGON USA SECURITIES INC.
September 20, 1994 - June 22, 1995
KFS BD, INC.
November 1, 1993 - September 16, 1994
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 9, 1991 - November 11, 1993
FIRST LINCOLN INVESTMENTS, INC.
June 6, 1991 - September 5, 1991
SECURITIES AMERICA, INC.
October 31, 1990 - June 10, 1991
INVESTMENT CENTERS OF AMERICA, INC.
June 14, 1990 - November 8, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 27, 1989 - June 22, 1990
AMERITAS INVESTMENT COMPANY, LLC
September 15, 1987 - February 22, 1989
B.C. CHRISTOPHER SECURITIES CO.
January 1, 1986 - September 8, 1987
TD AMERITRADE CLEARING, INC.
October 21, 1985 - January 1, 1986
ADVANTAGE 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.
