Steven A. Guarino
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.
Steven Anthony Guarino, CFP®, ChFC®, CLU® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 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
August 5, 2021 - March 26, 2025
LPL FINANCIAL LLC
July 30, 2021 - March 26, 2025
LPL FINANCIAL LLC
August 25, 2020 - August 2, 2021
THE LEADERS GROUP, INC.
August 10, 2005 - April 30, 2008
KESTRA INVESTMENT SERVICES, LLC
August 9, 2005 - April 30, 2008
KESTRA INVESTMENT SERVICES, LLC
September 27, 2004 - August 24, 2005
PARK AVENUE SECURITIES LLC
July 13, 2004 - August 24, 2005
PARK AVENUE SECURITIES LLC
November 9, 2001 - June 23, 2004
WS GRIFFITH SECURITIES, INC.
August 9, 2001 - June 23, 2004
WS GRIFFITH SECURITIES, INC.
May 3, 1995 - August 9, 2001
FSC SECURITIES CORPORATION
August 2, 1993 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
June 10, 1992 - August 6, 1993
INVEST FINANCIAL CORPORATION
June 21, 1991 - June 23, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 21, 1991 - June 23, 1992
SIGNATOR INVESTORS, INC.
August 15, 1989 - April 17, 1991
COUNTRY CAPITAL MANAGEMENT COMPANY
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 6TO
Date: 8/25/2020
Investment Company Products/Variable Contracts Representative 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.
