Guadalupe Hi-o'connell
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.
Guadalupe Hi-o'connell, who also goes by Guadalupe Hi, Lupita Hi, Guadalupe Hi O'connell, Lupita Hi-o'connell, Guadalupe Hi O'connell, Guadalupe Hi Olguin, Guadalupe Hi Samaniego, Lupita H. Samaniego, was a registered financial professional .
Guadalupe is a previously registered financial professional and started their career in finance in 1996. Guadalupe had worked at 10 firms and has passed the Series 63, SIE 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
September 15, 2021 - June 12, 2025
LPL FINANCIAL LLC
October 24, 2018 - September 29, 2021
FFEC WEALTH PARTNERS LLC
October 30, 2015 - October 26, 2018
WADDELL & REED
March 12, 2009 - November 3, 2015
OSAIC WEALTH, INC.
October 31, 2008 - March 17, 2009
OSAIC SERVICES, INC.
May 23, 2005 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
January 23, 2003 - December 31, 2004
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 17, 2001 - August 28, 2002
NEW ENGLAND SECURITIES
December 1, 2000 - May 1, 2001
TORREY PINES SECURITIES, INC.
February 23, 2000 - November 30, 2000
WMA SECURITIES, INC.
December 11, 1996 - December 31, 1999
MUTUAL OF OMAHA INVESTOR 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.
