Andrew Chmiel
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.
Andrew Chmiel, who also goes by Andrew James Chmiel, Drew Chmiel, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1993. Andrew had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2024 - January 15, 2025
LPL FINANCIAL LLC
February 1, 2024 - January 15, 2025
LPL FINANCIAL LLC
February 14, 2017 - February 1, 2024
OSAIC INSTITUTIONS, INC.
February 14, 2017 - February 1, 2024
OSAIC INSTITUTIONS, INC.
February 28, 2014 - February 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2014 - February 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2013 - December 17, 2013
QUEST CAPITAL STRATEGIES, INC.
June 19, 2013 - February 19, 2014
QUEST CAPITAL STRATEGIES, INC.
July 21, 2010 - July 29, 2011
LPL FINANCIAL LLC
June 17, 2010 - July 29, 2011
LPL FINANCIAL LLC
November 13, 2009 - March 30, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - March 30, 2010
PNC WEALTH MANAGEMENT LLC
March 1, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 23, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 10, 2005 - November 14, 2005
NATCITY INVESTMENTS, INC.
May 14, 2003 - May 9, 2005
CHARTER ONE SECURITIES, INC.
February 1, 2000 - May 21, 2003
VOYA FINANCIAL ADVISORS, INC.
August 21, 1997 - April 10, 1998
WINGSPAN INVESTMENT SERVICES
July 22, 1996 - April 30, 1997
BESTVEST INVESTMENTS, LTD.
September 2, 1993 - January 12, 1995
MULTI-BANK SECURITIES, 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 |
| 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.
