Anne H. Radcliffe
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 Herring Radcliffe, who also goes by Anne Herring, Ann E Herringradcliffe, Anne Elizabeth Herringradcliffe, Anne H Radcliffe, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1986. Anne had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2017 - February 13, 2019
LPL FINANCIAL LLC
April 3, 2017 - February 13, 2019
LPL FINANCIAL LLC
April 17, 2015 - January 7, 2019
OBS FINANCIAL
March 9, 2007 - April 7, 2015
TD AMERITRADE, INC.
February 27, 2007 - April 7, 2015
TD AMERITRADE, INC.
February 27, 2007 - April 7, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 2, 2005 - May 23, 2006
INDEPENDENT FINANCIAL GROUP, LLC
September 6, 2005 - May 23, 2006
INDEPENDENT FINANCIAL GROUP, LLC
November 1, 2004 - September 9, 2005
AMERIPRISE ADVISOR SERVICES, INC.
November 1, 2004 - September 9, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 5, 2004 - September 23, 2004
ALLSTATE FINANCIAL SERVICES, LLC
February 5, 2001 - March 23, 2004
LORING WARD SECURITIES INC.
October 25, 1999 - December 19, 2000
CUSO FINANCIAL SERVICES, L.P.
April 30, 1998 - January 12, 2000
MORGAN STANLEY DW INC.
May 23, 1996 - April 28, 1998
A. G. EDWARDS & SONS, INC.
April 3, 1987 - May 29, 1996
CHARLES SCHWAB & CO., INC.
May 1, 1986 - April 8, 1987
MORGAN STANLEY DW 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
Series 8
Date: 5/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
