John A. Lindgren
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.
John A Lindgren, who also goes by John Algot Lindgren IV, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - February 27, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - February 27, 2025
LPL ENTERPRISE, LLC
September 18, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
August 19, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
March 22, 2023 - February 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2023 - February 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2002 - August 5, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 31, 2002 - August 5, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 16, 1999 - June 13, 2002
UBS FINANCIAL SERVICES INC.
November 12, 1999 - June 13, 2002
UBS FINANCIAL SERVICES INC.
January 4, 1999 - November 16, 1999
NATCITY INSURANCE SERVICES, INC.
August 25, 1998 - January 4, 1999
IFMG SECURITIES, INC.
April 1, 1998 - November 16, 1999
NATCITY INVESTMENTS, INC.
June 12, 1997 - April 3, 1998
KEY INVESTMENTS INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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: 2/14/2023
General Securities Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
