Arlene H. Lytle
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.
Arlene Hebron Lytle, who also goes by Arlene Domingo Hebron, was a registered financial professional .
Arlene is a previously registered financial professional and started their career in finance in 1996. Arlene had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 7, Series 52, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - December 11, 2020
LPL FINANCIAL LLC
December 4, 2013 - December 11, 2020
LPL FINANCIAL LLC
September 12, 2011 - November 6, 2013
LUCIA SECURITIES, LLC
April 21, 2010 - November 6, 2013
LUCIA CAPITAL GROUP
January 16, 2009 - June 14, 2010
RAYMOND J. LUCIA COMPANIES, INC.
November 18, 2008 - December 5, 2011
FIRST ALLIED SECURITIES, INC.
January 25, 2006 - November 11, 2008
STONNINGTON GROUP, LLC
January 25, 2006 - November 11, 2008
STONNINGTON GROUP, LLC
August 3, 2005 - August 9, 2005
STONNINGTON GROUP, LLC
July 28, 2005 - February 7, 2006
CREDIT SUISSE SECURITIES (USA) LLC
July 27, 2005 - February 7, 2006
CREDIT SUISSE SECURITIES (USA) LLC
February 10, 2005 - July 22, 2005
THE SEIDLER COMPANIES INCORPORATED
May 12, 2004 - August 9, 2005
STONNINGTON GROUP, LLC
February 26, 2003 - April 16, 2004
KLEIN INVESTMENT GROUP, L.P.
January 13, 2001 - September 19, 2002
DEUTSCHE BANK SECURITIES INC.
December 1, 1999 - January 13, 2001
DB ALEX. BROWN LLC
December 11, 1997 - July 28, 1999
CIBC WORLD MARKETS CORP.
June 16, 1997 - November 26, 1997
FIMCO SECURITIES GROUP, INC.
September 13, 1996 - June 4, 1997
AMERIPRISE ADVISOR 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
Series 7TO
Date: 12/19/2022
General Securities Representative ExaminationSeries 52TO
Date: 12/19/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 12/19/2022
Operations Professional 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 |
| 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.
