Robert L. Lapp
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.
Robert Lewis Lapp was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 12 firms and has passed the Series 63, SIE, PC, Series 000, Series 1 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
August 28, 1991 - October 29, 2015
LPL FINANCIAL LLC
April 7, 1989 - October 29, 2015
LPL FINANCIAL LLC
August 9, 1988 - March 27, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 10, 1985 - July 16, 1988
CITIGROUP GLOBAL MARKETS INC.
February 8, 1984 - July 10, 1985
E. F. HUTTON & COMPANY INC
September 29, 1982 - December 2, 1983
UBS FINANCIAL SERVICES INC.
January 31, 1980 - June 17, 1981
UBS FINANCIAL SERVICES INC.
November 6, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 18, 1978 - November 29, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
September 10, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
October 17, 1974 - November 2, 1976
BACHE & CO INCORPORATED
February 7, 1974 - October 25, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
October 5, 1973 - April 8, 1974
DUPONT WALSTON, INCORPORATED
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 10/2/1973
General Securities Principal ExaminationSeries 1
Date: 10/2/1973
Registered Representative ExaminationCurrent 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.
