Beverley M. Hylton
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.
Beverley Moore Hylton, who also goes by Beverly Moore Hylton, Chik Hylton, was a registered financial advisor .
Beverley is a previously registered financial advisor and started their career in finance in 1967. Beverley had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 5 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
June 20, 2014 - July 10, 2015
LPL FINANCIAL LLC
June 19, 2014 - July 10, 2015
LPL FINANCIAL LLC
November 25, 2013 - June 24, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - June 24, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 6, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
October 19, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
November 20, 2007 - November 13, 2009
WEDBUSH SECURITIES INC.
September 3, 1991 - November 13, 2009
WEDBUSH SECURITIES INC.
June 7, 1991 - August 2, 1991
MASON, HUNT & CO., INC.
January 4, 1988 - April 8, 1991
THOMAS GREEN SECURITIES, INC.
July 21, 1984 - October 29, 1987
SAN DIEGO SECURITIES INCORPORATED
February 24, 1978 - July 6, 1984
MORGAN STANLEY DW INC.
June 23, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
March 1, 1974 - July 9, 1976
REYNOLDS SECURITIES, INC.
August 29, 1967 - September 5, 1975
DUPONT WALSTON, INCORPORATED
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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 8/25/1967
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 |
| 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.
