Brendan Dignan
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.
Brendan Dignan, CFP® was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1997. Brendan had worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2021 - March 30, 2023
LPL FINANCIAL LLC
December 21, 2021 - March 30, 2023
LPL FINANCIAL LLC
August 26, 2020 - April 23, 2021
EQUITABLE ADVISORS, LLC
August 26, 2020 - April 23, 2021
EQUITABLE ADVISORS, LLC
November 21, 2018 - November 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2018 - November 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2006 - November 30, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 26, 2005 - November 30, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 1, 2000 - July 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
December 17, 1999 - May 10, 2000
SEI INVESTMENTS DISTRIBUTION CO.
January 28, 1997 - July 26, 1999
VANGUARD MARKETING CORPORATION
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 99TO
Date: 1/2/2023
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 |
| 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.
