Philip M. Gatti
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.
Philip Michael Gatti was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1973. Philip had worked at 14 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2008 - April 17, 2013
LPL FINANCIAL LLC
September 30, 2008 - April 17, 2013
LPL FINANCIAL LLC
January 30, 2007 - December 1, 2008
HARBOR LIGHTS FINANCIAL GROUP,INC
December 15, 2006 - October 3, 2008
OSAIC WEALTH, INC.
June 21, 2002 - December 8, 2006
NATIONAL PLANNING CORPORATION
May 27, 1999 - December 14, 2006
NATIONAL PLANNING CORPORATION
July 6, 1998 - May 29, 1999
ADVANTAGE CAPITAL CORPORATION
December 10, 1997 - July 14, 1998
WORLD INVESTMENTS, LLC
January 12, 1994 - December 10, 1997
SUNAMERICA SECURITIES, INC.
October 28, 1992 - January 13, 1994
WALNUT STREET SECURITIES, INC.
November 27, 1990 - November 3, 1992
NORTH AMERICAN MANAGEMENT, INC.
May 14, 1984 - April 28, 1989
MONARCH SECURITIES, INC.
April 27, 1982 - January 30, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 11, 1982 - December 5, 1983
PRUCO SECURITIES, LLC.
July 8, 1980 - February 17, 1982
CARDELL & ASSOCIATES, INCORPORATED
January 2, 1973 - April 12, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 12/21/1972
Registered 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.
