Sharon L. Reigstad
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.
Sharon Lynne Reigstad, who also goes by Sharon Lynne Ladwig, Sharon Ladwig, Sharon Lynne Reigstad, Sharon L Steinhauer, Sharon Lynne Steinhauer, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1986. Sharon had worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2023 - April 25, 2025
LPL FINANCIAL LLC
September 12, 2023 - April 25, 2025
LPL FINANCIAL LLC
September 21, 2022 - November 18, 2022
FIRST HORIZON ADVISORS, INC.
September 21, 2022 - November 18, 2022
FIRST HORIZON ADVISORS, INC.
September 8, 2021 - December 13, 2021
LPL FINANCIAL LLC
September 8, 2021 - December 13, 2021
LPL FINANCIAL LLC
July 13, 2021 - September 10, 2021
BLACKRIDGE ASSET MANAGEMENT, LLC
June 7, 2021 - September 10, 2021
PEAK BROKERAGE SERVICES, LLC
July 17, 2017 - March 7, 2019
QUESTAR ASSET MANAGEMENT, INC.
July 17, 2017 - March 7, 2019
QUESTAR CAPITAL CORPORATION
September 10, 2015 - June 5, 2017
J.P. MORGAN SECURITIES LLC
September 10, 2015 - June 5, 2017
J.P. MORGAN SECURITIES LLC
June 27, 2014 - August 27, 2015
MORGAN STANLEY
August 21, 2013 - August 27, 2015
MORGAN STANLEY
December 19, 2011 - May 1, 2012
SVA WEALTH MANAGEMENT, LLC
June 16, 2008 - December 19, 2011
SVA WEALTH MANAGEMENT, INC.
May 30, 2008 - April 26, 2012
SVA FINANCIAL SERVICES, LLC
December 11, 2002 - May 5, 2008
CHARLES SCHWAB & CO., INC.
November 21, 1986 - July 5, 1990
ACS SECURITIES CORP.
September 24, 1986 - December 1, 1986
NEW ENGLAND SECURITIES
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 99TO
Date: 9/12/2023
Operations Professional ExaminationCurrent 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.
