Yehuda B. Fishkind
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.
Yehuda Binyamin Fishkind, CFP®, ChFC®, who also goes by Yehuda B Fishkind, was a registered financial professional .
Yehuda is a previously registered financial professional and started their career in finance in 1997. Yehuda had worked at 7 firms and has passed the Series 66, Series 3, SIE, Series 7, Series 30, Series 53, Series 4 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
Start date: 2001
Experience
December 19, 2008 - April 16, 2024
LPL FINANCIAL LLC
December 19, 2008 - April 16, 2024
LPL FINANCIAL LLC
September 26, 2006 - December 19, 2008
JASMIJN CAPITAL MANAGEMENT, LLC
June 26, 2006 - September 19, 2006
JASMIJN CAPITAL MANAGEMENT, LLC
February 8, 2006 - December 22, 2008
OSAIC WEALTH, INC.
December 2, 2005 - December 22, 2008
OSAIC WEALTH, INC.
January 3, 2005 - December 8, 2005
PARK AVENUE SECURITIES LLC
December 1, 2004 - December 8, 2005
PARK AVENUE SECURITIES LLC
January 12, 2004 - November 1, 2004
TRUIST INVESTMENT SERVICES, INC.
January 12, 2004 - November 1, 2004
TRUIST INVESTMENT SERVICES, INC.
March 28, 2002 - January 9, 2004
MONY SECURITIES CORPORATION
October 23, 2001 - January 9, 2004
MONY SECURITIES CORPORATION
May 3, 1999 - November 1, 2001
PARK AVENUE SECURITIES LLC
October 8, 1997 - May 3, 1999
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.
