Gloria R. Liberatore
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.
Gloria Rose Liberatore, who also goes by Gloria R. Gaughan, Gloria Rose Gaughan, Gloria Rose Greser, Gloria Rose Ruggiero, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 1991. Gloria had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2010 - June 4, 2015
LPL FINANCIAL LLC
October 23, 2008 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
September 26, 2005 - May 17, 2007
EQUITABLE ADVISORS, LLC
March 19, 2003 - September 15, 2005
CITICORP INVESTMENT SERVICES
March 19, 2001 - January 13, 2003
MONY SECURITIES CORPORATION
September 25, 2000 - February 23, 2001
QUICK & REILLY, INC.
January 11, 2000 - September 25, 2000
FIS SECURITIES, INC.
April 26, 1999 - January 13, 2000
CHARTER ONE SECURITIES, INC.
October 1, 1997 - April 26, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
January 11, 1996 - October 1, 1997
USLIFE EQUITY SALES CORP.
April 11, 1991 - January 11, 1996
CADARET, GRANT & CO., INC.
January 25, 1991 - April 15, 1991
LINCOLN FINANCIAL DISTRIBUTORS, 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.
