Guy T. Sobierajski
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.
Guy Thomas Sobierajski, who also goes by Guy T Sobierajski, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1990. Guy had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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
November 24, 2015 - July 10, 2025
LPL FINANCIAL LLC
December 9, 2014 - August 20, 2015
LPL FINANCIAL LLC
August 16, 2011 - December 5, 2012
BUCKMAN, BUCKMAN & REID, INC.
August 19, 2008 - June 30, 2011
RUSHMORE CAPITAL, INC.
November 5, 2007 - June 30, 2011
DOMESTIC SECURITIES, INC.
June 16, 2003 - October 25, 2007
HUDSON SECURITIES,INC.
March 30, 2000 - October 29, 2002
FINANCIAL CONSULTANT GROUP, LLC
May 12, 1998 - March 17, 2000
CONSECO SECURITIES, INC.
December 5, 1997 - March 25, 1998
HUDSON SECURITIES,INC.
March 4, 1997 - August 1, 1997
THE THERMOPYLAE GROUP, INC.
October 5, 1993 - August 23, 1995
HYM FINANCIAL, INC.
May 29, 1990 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
May 14, 1990 - September 29, 1993
FIRST INSTITUTIONAL SECURITIES, L.L.C.
January 23, 1990 - May 21, 1990
GIBRALTAR SECURITIES CO.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/31/2001
Limited Representative-Equity Trader ExamCurrent 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.
