Allan C. Small
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.
Allan Charles Small, who also goes by Allan C Small, Allan Small, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1991. Allan had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 27, 2018 - August 10, 2018
LPL FINANCIAL LLC
July 27, 2018 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2018 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 2015 - July 24, 2018
INDEPENDENT FINANCIAL PARTNERS
May 28, 2013 - December 23, 2016
LPL FINANCIAL LLC
May 22, 2013 - August 10, 2018
LPL FINANCIAL LLC
January 12, 2011 - May 21, 2013
PNC WEALTH MANAGEMENT LLC
January 11, 2011 - May 21, 2013
PNC WEALTH MANAGEMENT LLC
April 6, 2010 - January 6, 2011
TRUIST INVESTMENT SERVICES, INC.
November 18, 2009 - January 6, 2011
TRUIST INVESTMENT SERVICES, INC.
August 6, 2009 - November 20, 2009
ALLSTATE FINANCIAL SERVICES, LLC
June 21, 2007 - March 25, 2009
EVERLAKE DISTRIBUTORS, LLC
February 23, 2007 - July 13, 2007
CADARET, GRANT & CO., INC.
February 1, 2007 - March 15, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
January 18, 2006 - March 8, 2006
IFMG SECURITIES, INC.
January 17, 2006 - March 8, 2006
IFMG SECURITIES, INC.
August 23, 2005 - January 4, 2006
NATIONAL PLANNING CORPORATION
November 3, 2003 - August 23, 2005
M&T SECURITIES, INC.
June 2, 1997 - October 28, 2003
ESSEX NATIONAL SECURITIES, LLC
January 6, 1997 - June 2, 1997
FLEET ENTERPRISES, INC.
May 19, 1995 - June 4, 1997
FIS SECURITIES, INC.
August 11, 1993 - May 16, 1995
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 28, 1993 - July 19, 1993
CAPITAL BROKERAGE CORPORATION
September 18, 1991 - May 16, 1995
MUTUAL OF OMAHA INVESTOR SERVICES, 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.
