Alfred C. Mariano
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.
Alfred Charles Mariano, who also goes by Fred Mariano, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1995. Alfred had worked at 11 firms and has passed the Series 65, Series 66, 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
October 18, 2022 - February 7, 2024
LPL FINANCIAL LLC
October 11, 2022 - February 7, 2024
LPL FINANCIAL LLC
July 2, 2019 - October 12, 2022
OSAIC INSTITUTIONS, INC.
April 5, 2018 - October 12, 2022
OSAIC INSTITUTIONS, INC.
June 24, 2016 - April 3, 2018
NYLIFE SECURITIES LLC
August 3, 2015 - May 16, 2016
EQUITABLE ADVISORS, LLC
February 26, 2014 - July 7, 2014
OSAIC INSTITUTIONS, INC.
March 16, 2011 - February 20, 2014
CITIZENS SECURITIES, INC.
May 27, 2008 - October 18, 2010
LPL FINANCIAL LLC
May 12, 2006 - May 27, 2008
IFMG SECURITIES, INC.
October 20, 2004 - April 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 29, 2004 - October 20, 2004
QUICK & REILLY, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
November 4, 1997 - September 25, 2000
FIS SECURITIES, INC.
October 6, 1997 - October 28, 1997
FIS SECURITIES, INC.
July 7, 1995 - October 8, 1997
FLEET BROKERAGE SECURITIES, INC.
January 1, 1995 - June 14, 1995
L.C. WEGARD & CO., 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.
