Stephen F. Schlissel
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.
Stephen Fred Schlissel was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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 14, 2020 - July 22, 2021
LPL FINANCIAL LLC
September 14, 2020 - July 22, 2021
LPL FINANCIAL LLC
June 1, 2015 - September 15, 2020
OSAIC INSTITUTIONS, INC.
June 1, 2015 - September 15, 2020
OSAIC INSTITUTIONS, INC.
March 20, 2012 - May 29, 2015
CETERA WEALTH SERVICES, LLC
March 13, 2012 - May 29, 2015
CETERA WEALTH SERVICES, LLC
January 23, 2007 - February 24, 2012
PSI CAPITAL MANAGEMENT
August 18, 2006 - March 19, 2007
SSN ADVISORY, INC.
August 7, 2006 - July 1, 2011
SECURITIES SERVICE NETWORK, LLC
May 27, 2003 - August 1, 2006
NATIONAL PLANNING CORPORATION
May 14, 2003 - August 1, 2006
NATIONAL PLANNING CORPORATION
September 5, 2002 - November 28, 2003
FINANCIAL NETWORK ADVISORY INC.
January 5, 2001 - May 12, 2003
CETERA WEALTH SERVICES, LLC
December 6, 1999 - December 7, 2000
AMERITAS INVESTMENT COMPANY, LLC
November 20, 1998 - December 11, 1999
WOODBURY FINANCIAL SERVICES, INC.
October 17, 1997 - November 18, 1998
GUARDIAN INVESTOR SERVICES LLC
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.
