Anthony P. Iuso
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.
Anthony Peter Iuso, who also goes by Anthony Peter Iuso III, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2015 - June 17, 2024
LPL FINANCIAL LLC
October 8, 2015 - June 17, 2024
LPL FINANCIAL LLC
March 23, 2011 - October 7, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2011 - October 7, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2009 - March 24, 2011
PNC WEALTH MANAGEMENT LLC
May 11, 2009 - March 24, 2011
PNC WEALTH MANAGEMENT LLC
March 13, 2007 - May 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 3, 2006 - May 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 28, 2001 - February 6, 2006
TD AMERITRADE, INC.
November 23, 1998 - May 10, 2001
UBS FINANCIAL SERVICES INC.
May 11, 1998 - December 9, 1998
BARINGTON CAPITAL GROUP, L.P.
May 20, 1996 - April 14, 1998
D. H. BLAIR & CO., INC.
January 4, 1996 - April 10, 1996
M. J. WHITMAN, INC.
March 3, 1994 - November 15, 1995
FINANCIAL NORTHEASTERN SECURITIES, INC.
May 9, 1989 - November 8, 1993
HYM FINANCIAL, INC.
July 15, 1988 - May 18, 1989
R. SEELAUS & CO., LLC
December 22, 1987 - June 14, 1988
GOLDEN HARRIS CAPITAL GROUP, 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
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.
