Christopher Candelaria
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.
Christopher Candelaria, who also goes by Chris Matthew Candelaria, Chris Candelaria, Christopher Matthew Candelaria, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 13 firms and has passed the Series 65, Series 63, 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
May 22, 2019 - August 27, 2020
LPL FINANCIAL LLC
May 22, 2019 - August 27, 2020
LPL FINANCIAL LLC
December 13, 2018 - March 22, 2019
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
October 11, 2018 - December 13, 2018
LWI FINANCIAL INC.
March 14, 2014 - March 12, 2018
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
March 13, 2014 - March 12, 2018
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 20, 2013 - March 27, 2014
MYVEST ADVISORS
September 29, 2010 - December 31, 2012
BNY MELLON SECURITIES CORPORATION
January 7, 2004 - September 17, 2010
NATIXIS ADVISORS, LLC
July 18, 2003 - September 17, 2010
NATIXIS DISTRIBUTION, LLC
March 23, 2000 - September 19, 2002
VP DISTRIBUTORS LLC
November 4, 1998 - August 7, 2000
IDS LIFE INSURANCE COMPANY
November 4, 1998 - August 7, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 1997 - December 5, 1997
WALDRON & CO., 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.
