Julie E. Capuder
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.
Julie Ellen Capuder, who also goes by Julie Ellen Simmons, Julie Ellen Simmons-capuder, Julie E Simmons, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1998. Julie had worked at 9 firms and has passed the Series 63, Series 99TO, Series 82TO, Series 22TO, SIE, Series 7, Series 14 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
April 25, 2024 - October 15, 2024
LPL ENTERPRISE, LLC
November 9, 2022 - January 31, 2023
FUNDOPOLIS SECURITIES, LLC
August 31, 2021 - September 7, 2021
GROWTH CAPITAL SERVICES, INC.
February 24, 2013 - July 30, 2020
T CAPITAL FUNDING, LLC
October 7, 2004 - December 17, 2004
FIRSTMERIT SECURITIES, INC.
January 6, 2003 - November 11, 2003
QUESTAR CAPITAL CORPORATION
November 19, 2001 - December 2, 2002
CETERA INVESTMENT SERVICES LLC
July 9, 1999 - May 9, 2000
A. G. EDWARDS & SONS, INC.
May 14, 1998 - January 12, 1999
MORGAN STANLEY DW 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs 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.
