Denise M. Padovani
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.
Denise Marie Padovani, who also goes by Denise Marie Heafey, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1991. Denise had worked at 7 firms and has passed the 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
March 26, 2014 - March 24, 2020
LPL FINANCIAL LLC
March 25, 2014 - March 24, 2020
LPL FINANCIAL LLC
April 29, 2013 - March 6, 2014
LPL FINANCIAL LLC
April 26, 2013 - March 6, 2014
LPL FINANCIAL LLC
April 5, 2010 - April 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2010 - April 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 2005 - April 5, 2010
U.S. BANCORP INVESTMENTS, INC.
January 10, 2005 - April 5, 2010
U.S. BANCORP INVESTMENTS, INC.
April 12, 2004 - January 5, 2005
CITICORP INVESTMENT SERVICES
February 5, 2003 - January 5, 2005
CITICORP INVESTMENT SERVICES
November 12, 1993 - February 5, 2003
CAL FED INVESTMENTS
June 4, 1992 - November 5, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 26, 1991 - February 13, 1992
IDS LIFE INSURANCE COMPANY
August 26, 1991 - February 13, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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.
