Adam H. Ezrilov
Professional summary
Adam Harris Ezrilov was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Adam had worked at 7 firms, which includes LPL FINANCIAL LLC, ADVANTAGE WEALTH ADVISORS, RBC CAPITAL MARKETS LLC, UBS FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, PIPER SANDLER & CO., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2023 - February 27, 2024
LPL FINANCIAL LLC
April 20, 2018 - August 23, 2019
LPL FINANCIAL LLC
April 13, 2017 - March 1, 2024
ADVANTAGE WEALTH ADVISORS
April 12, 2017 - February 27, 2024
LPL FINANCIAL LLC
December 11, 2012 - April 25, 2017
RBC CAPITAL MARKETS, LLC
December 11, 2012 - April 25, 2017
RBC CAPITAL MARKETS, LLC
November 17, 2008 - December 19, 2012
UBS FINANCIAL SERVICES INC.
November 14, 2008 - December 19, 2012
UBS FINANCIAL SERVICES INC.
November 24, 2003 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 24, 2003 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2001 - December 1, 2003
PIPER SANDLER & CO.
December 18, 2000 - December 1, 2003
PIPER SANDLER & CO.
November 24, 1995 - December 18, 2000
MORGAN STANLEY DW 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.
