Phillip G. Salter
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.
Phillip Glynn Salter, who also goes by Phil Salter, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1989. Phillip had worked at 14 firms and has passed the Series 65, Series 63, SIE, 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
June 19, 2019 - July 14, 2021
LPL FINANCIAL LLC
June 19, 2019 - July 14, 2021
LPL FINANCIAL LLC
June 18, 2018 - June 24, 2019
SUMMIT FINANCIAL GROUP INC
June 2, 2014 - June 24, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 20, 2006 - July 22, 2014
LPL FINANCIAL LLC
January 4, 2002 - April 21, 2006
CAPITAL ONE INVESTMENTS, LLC
March 8, 2001 - December 12, 2001
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 10, 2001 - February 13, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 18, 1999 - February 12, 2001
WELLS FARGO SECURITIES INC.
August 3, 1998 - February 8, 1999
IFMG SECURITIES, INC.
March 16, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 26, 1998 - February 3, 1999
SOUTHTRUST SECURITIES, LLC
July 6, 1993 - February 24, 1998
FIRST UNION BROKERAGE SERVICES, INC.
May 5, 1992 - July 29, 1993
LEHMAN BROTHERS INC.
October 22, 1990 - May 7, 1992
A. G. EDWARDS & SONS, INC.
June 30, 1989 - November 13, 1990
LEHMAN BROTHERS INC.
June 20, 1989 - July 12, 1989
HYER, BIKSON & HINSEN, 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.
