Sylvia Geers
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.
Sylvia Geers, who also goes by Sylvia Pecson Geers, Sylvia Rubio Geers, Sylvia Pecson Rubio, Sylvia Rubio, Sylvia Rubio-ralph, was a registered financial professional .
Sylvia is a previously registered financial professional and started their career in finance in 1994. Sylvia had worked at 13 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 10, Series 9 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 14, 2018 - August 30, 2022
LPL FINANCIAL LLC
February 14, 2018 - August 30, 2022
LPL FINANCIAL LLC
July 27, 2015 - February 14, 2018
SII INVESTMENTS, INC.
July 27, 2015 - February 14, 2018
SII INVESTMENTS, INC.
September 29, 2014 - July 1, 2015
CITIZENS SECURITIES, INC.
September 29, 2014 - July 1, 2015
CITIZENS SECURITIES, INC.
May 6, 2014 - October 1, 2014
ONEAMERICA SECURITIES, INC.
May 6, 2014 - October 1, 2014
ONEAMERICA SECURITIES, INC.
January 26, 2011 - June 26, 2013
PNC WEALTH MANAGEMENT LLC
January 26, 2011 - June 26, 2013
PNC WEALTH MANAGEMENT LLC
February 9, 2009 - December 2, 2010
EQUITABLE ADVISORS, LLC
February 2, 2009 - December 2, 2010
EQUITABLE ADVISORS, LLC
April 22, 2008 - February 5, 2009
WORKMAN SECURITIES CORPORATION
May 18, 2001 - December 11, 2007
KEYBANC CAPITAL MARKETS INC.
July 29, 1999 - March 16, 2001
PNC BROKERAGE CORP
August 18, 1997 - June 2, 1999
BERWYN FINANCIAL SERVICES CORP.
December 23, 1994 - June 25, 1997
PNC BROKERAGE CORP
June 9, 1994 - December 23, 1994
PNC CAPITAL MARKETS LLC
February 22, 1994 - April 4, 1994
IDS LIFE INSURANCE COMPANY
February 22, 1994 - April 4, 1994
AMERIPRISE FINANCIAL SERVICES, 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.
