Lillian Klainos
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.
Lillian Klainos, who also goes by Lailjana Ciric, Lillian Ciric, Lillian Jovanovich, was a registered financial professional .
Lillian is a previously registered financial professional and started their career in finance in 1992. Lillian had worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - January 6, 2017
LPL FINANCIAL LLC
December 9, 2013 - January 6, 2017
LPL FINANCIAL LLC
June 7, 2012 - December 13, 2013
FIFTH THIRD SECURITIES, INC.
June 7, 2012 - December 13, 2013
FIFTH THIRD SECURITIES, INC.
April 11, 2011 - June 27, 2012
PNC WEALTH MANAGEMENT LLC
April 8, 2011 - June 27, 2012
PNC WEALTH MANAGEMENT LLC
June 18, 2010 - April 21, 2011
ASSOCIATED INVESTMENT SERVICES, INC.
April 18, 2008 - April 21, 2011
ASSOCIATED INVESTMENT SERVICES, INC.
November 29, 2007 - April 4, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
December 1, 2006 - November 30, 2007
QUESTAR CAPITAL CORPORATION
May 11, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
December 4, 2003 - February 17, 2006
CITICORP INVESTMENT SERVICES
December 4, 2003 - February 17, 2006
CITICORP INVESTMENT SERVICES
October 17, 2001 - December 3, 2003
CHARLES SCHWAB & CO., INC.
July 21, 1995 - December 3, 2003
CHARLES SCHWAB & CO., INC.
January 6, 1995 - April 4, 1995
MORGAN STANLEY DW INC.
April 13, 1994 - July 22, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
December 14, 1993 - February 18, 1994
J.P. MORGAN SECURITIES LLC
August 30, 1993 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1993 - July 12, 1993
AMERIPRISE ADVISOR SERVICES, INC.
March 12, 1993 - June 11, 1993
ROTHSCHILD INVESTMENT LLC
November 23, 1992 - December 16, 1992
TAMARON INVESTMENTS, INC.
July 29, 1992 - October 29, 1992
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
May 14, 1992 - July 28, 1992
CHATFIELD DEAN & CO., INC.
January 17, 1992 - May 19, 1992
KOBER FINANCIAL CORP.
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 8
Date: 9/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
