John M. Hess Yoder
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 Mark Hess Yoder, CFP®, who also goes by John Mark Hessyoder, John Mark Yoder, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
January 18, 2022 - August 19, 2024
LPL FINANCIAL LLC
January 18, 2022 - August 19, 2024
LPL FINANCIAL LLC
April 24, 2002 - January 31, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 19, 1995 - January 31, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 10, 1992 - June 19, 1995
SUNAMERICA SECURITIES, INC.
July 10, 1990 - November 10, 1992
U.S. SECURITIES CLEARING CORP.
August 8, 1986 - June 12, 1990
WADDELL & REED
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
What does exam status mean?
Series 22
Passed: 2/25/1987
Series 6
Passed: 8/7/1986
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 | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | 4194266 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | 7069201 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER | 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 | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,850,994 |
| AUM (Assets Under Management) | $ 819,117,829,825 |
Disclosures
| Regulatory Event | 237 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 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.
