Lakis A. Kisger
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.
Lakis Allen Kisger was a registered financial professional .
Lakis is a previously registered financial professional and started their career in finance in 1986. Lakis had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2022 - May 30, 2023
LPL FINANCIAL LLC
October 23, 2019 - March 28, 2022
PRIVATE ADVISOR GROUP, LLC
July 31, 2012 - May 30, 2023
LPL FINANCIAL LLC
January 14, 2009 - December 31, 2019
ADVANTAGE INVESTMENT MANAGEMENT, LLC
June 10, 2003 - July 31, 2012
NATIONAL PLANNING CORPORATION
June 9, 2003 - July 31, 2012
NATIONAL PLANNING CORPORATION
April 2, 1999 - July 8, 2003
WALNUT STREET ADVISERS INC
April 3, 1998 - July 8, 2003
WALNUT STREET SECURITIES, INC.
April 20, 1995 - April 3, 1998
AEGON USA SECURITIES INC.
July 31, 1993 - March 14, 1995
CITIGROUP GLOBAL MARKETS INC.
May 20, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
November 5, 1992 - June 1, 1993
INTERFIRST CAPITAL CORPORATION
October 29, 1991 - January 28, 1992
KENNEDY, CABOT & CO.
July 25, 1990 - February 13, 1991
JOHNSON, MCKENNEY,CARR & COMPANY INCORPORATED
March 24, 1988 - February 1, 1991
RECTOR CAPITAL CORP.
January 5, 1988 - February 18, 1988
J. T. MORAN & CO., INC.
April 30, 1987 - November 23, 1987
SOUTH RICHMOND SECURITIES, INC.
January 12, 1987 - March 31, 1987
FIRST AMERICA EQUITIES CORP.
May 23, 1986 - March 20, 1987
MML INVESTORS SERVICES, LLC
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.
