Charles L. Harbeck
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.
Charles Lyle Harbeck II, who also goes by Chad Harbeck II, Charles Lyle Ii Harbeck, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 13 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
February 14, 2018 - October 28, 2020
LPL FINANCIAL LLC
February 14, 2018 - October 28, 2020
LPL FINANCIAL LLC
July 19, 2013 - February 14, 2018
SII INVESTMENTS, INC.
July 19, 2013 - February 14, 2018
SII INVESTMENTS, INC.
June 28, 2006 - July 19, 2013
PACKERLAND BROKERAGE SERVICES, INC.
June 28, 2006 - July 19, 2013
PACKERLAND BROKERAGE SERVICES, INC.
June 16, 2005 - June 16, 2005
INVESTORS CAPITAL CORP.
June 27, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
June 6, 2002 - July 3, 2006
INVESTORS CAPITAL CORP.
March 8, 2001 - June 17, 2002
WADDELL & REED
March 24, 2000 - March 8, 2001
IDS LIFE INSURANCE COMPANY
March 24, 2000 - March 8, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 1999 - March 1, 2000
INVESTORS CAPITAL CORP.
January 5, 1994 - May 27, 1999
AMERICAN BEACON PARTNERS, INC.
March 17, 1992 - November 10, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 17, 1992 - November 10, 1993
SIGNATOR INVESTORS, INC.
December 19, 1991 - February 25, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 19, 1991 - February 25, 1992
PRUCO SECURITIES, 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.
