Svetlana S. Chowdhury
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.
Svetlana Sarkisian Chowdhury, CFP®, who also goes by Lana Chowdhury, Svetlana S Chowdhury, Svetlana Sarkisian Chowdhury, Svetlana Chowdhury, was a registered financial professional .
Svetlana is a previously registered financial professional and started their career in finance in 1995. Svetlana had worked at 13 firms and has passed the Series 66, 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
Start date: 2000
Experience
November 1, 2021 - June 27, 2025
LPL FINANCIAL LLC
November 1, 2021 - June 27, 2025
LPL FINANCIAL LLC
August 29, 2018 - September 22, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
October 31, 2017 - May 2, 2018
AVANTAX INVESTMENT SERVICES, INC.
June 6, 2008 - November 13, 2017
ALLSTATE FINANCIAL SERVICES, LLC
August 17, 2007 - January 17, 2008
CITIGROUP GLOBAL MARKETS INC.
August 17, 2007 - January 17, 2008
CITIGROUP GLOBAL MARKETS INC.
February 1, 2007 - March 14, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - March 14, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
July 13, 2004 - January 6, 2006
WAMU INVESTMENTS, INC.
December 13, 2002 - July 16, 2004
ATLAS SECURITIES, LLC
January 29, 2001 - January 10, 2002
M HOLDINGS SECURITIES, INC.
October 27, 1999 - June 9, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 1997 - July 6, 1999
MUTUAL SERVICE CORPORATION
April 12, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 12, 1995 - September 9, 1997
SIGNATOR INVESTORS, 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.
