Seng N. Heuansavath
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.
Seng Nuna Heuansavath, who also goes by Seng Simon Heuansavath, was a registered financial professional .
Seng is a previously registered financial professional and started their career in finance in 1998. Seng had worked at 11 firms and has passed the Series 65, Series 63, 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
Experience
October 27, 2016 - August 30, 2017
LPL FINANCIAL LLC
October 27, 2016 - August 30, 2017
LPL FINANCIAL LLC
September 17, 2015 - October 24, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 14, 2015 - October 24, 2016
BBVA SECURITIES INC.
January 15, 2013 - July 30, 2015
CETERA WEALTH SERVICES, LLC
January 11, 2013 - July 30, 2015
CETERA WEALTH SERVICES, LLC
January 3, 2011 - January 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 20, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 3, 2006 - March 19, 2007
BANCWEST INVESTMENT SERVICES, INC.
September 11, 2003 - March 19, 2007
BANCWEST INVESTMENT SERVICES, INC.
May 16, 2002 - September 15, 2003
WAMU INVESTMENTS, INC.
December 20, 2000 - April 30, 2002
CAL FED INVESTMENTS
June 28, 2000 - January 23, 2001
WAMU INVESTMENTS, INC.
July 16, 1998 - February 1, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 16, 1998 - February 1, 2000
MSI FINANCIAL SERVICES, 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.
