Rita C. Defloreo
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.
Rita Carol Defloreo, who also goes by Rita Defloreo, Rita Carol Myers, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1993. Rita had worked at 25 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 51, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2026 - May 29, 2026
LPL FINANCIAL LLC
April 20, 2026 - April 20, 2026
LPL FINANCIAL LLC
May 10, 2024 - September 24, 2024
OSAIC WEALTH, INC.
May 10, 2024 - September 24, 2024
OSAIC WEALTH, INC.
July 11, 2017 - April 21, 2023
VALIC FINANCIAL ADVISORS, INC.
July 7, 2017 - April 21, 2023
VALIC FINANCIAL ADVISORS, INC.
July 12, 2016 - June 23, 2017
PRIVATE CLIENT SERVICES, LLC
June 30, 2016 - June 23, 2017
PRIVATE CLIENT SERVICES, LLC
July 16, 2014 - June 23, 2016
VALIC FINANCIAL ADVISORS, INC.
July 16, 2014 - June 23, 2016
VALIC FINANCIAL ADVISORS, INC.
July 16, 2013 - June 20, 2014
VISIONARY ASSET MANAGEMENT
June 27, 2013 - June 20, 2014
NEXT FINANCIAL GROUP, INC.
December 2, 2011 - June 20, 2014
NEXT FINANCIAL GROUP, INC.
June 14, 2010 - December 14, 2010
NRP ADVISORS, INC.
June 10, 2010 - December 14, 2010
NRP FINANCIAL, INC.
May 8, 2009 - January 11, 2010
INVESCOR WHOLESALE BD, INC.
July 18, 2008 - October 27, 2008
JBS LIBERTY SECURITIES, INC.
April 7, 2008 - October 24, 2008
SYNERGY INVESTMENT GROUP, LLC
May 4, 2007 - September 19, 2007
USF SERVICES, LLC
May 4, 2007 - September 19, 2007
USF ADVISORS, LLC
May 1, 2007 - September 19, 2007
USF SECURITIES, L.P.
October 31, 2006 - February 26, 2007
USA WEALTH MANAGEMENT LLC
October 24, 2006 - February 26, 2007
USA ADVANCED PLANNERS INC.
April 11, 2006 - August 23, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 18, 2004 - June 17, 2005
PARADIGM EQUITIES, INC.
March 6, 2003 - January 9, 2004
NRP FINANCIAL, INC.
October 31, 2000 - December 31, 2002
VESTAX SECURITIES CORPORATION
July 30, 1998 - October 31, 2000
AMERIPRISE ADVISOR SERVICES, INC.
December 4, 1997 - June 26, 1998
AMSOUTH INVESTMENT SERVICES, INC.
April 22, 1997 - July 29, 1997
THE HAMILTON-SHEA GROUP, INC.
May 6, 1996 - November 1, 1996
THE HAMILTON-SHEA GROUP, INC.
March 18, 1994 - May 1, 1996
SBK-BROOKS INVESTMENT CORP.
October 23, 1993 - March 4, 1994
BROOKS SECURITIES, INCORPORATED
June 3, 1993 - October 12, 1993
AMERICA NORTHCOAST SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/25/1997
Introducing Broker/Dealer Financial Operations Principal 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
