John W. Spista
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.
John William Spista JR, who also goes by John William Spista, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 10 firms and has passed the Series 65, Series 63 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
March 30, 2012 - March 5, 2013
LPL FINANCIAL LLC
March 30, 2012 - January 2, 2014
LPL FINANCIAL LLC
November 30, 2009 - September 23, 2010
LPL FINANCIAL LLC
November 30, 2009 - September 23, 2010
LPL FINANCIAL LLC
July 20, 2006 - December 1, 2009
INVEST FINANCIAL CORPORATION
July 20, 2006 - December 1, 2009
INVEST FINANCIAL CORPORATION
December 21, 2005 - June 27, 2006
OBS BROKERAGE SERVICES, INC.
December 21, 2005 - June 27, 2006
OBS BROKERAGE SERVICES, INC.
March 15, 2005 - January 9, 2006
IFMG SECURITIES, INC.
March 15, 2005 - January 9, 2006
IFMG SECURITIES, INC.
February 11, 2004 - January 25, 2005
BANC ONE SECURITIES CORPORATION
January 23, 2004 - January 25, 2005
BANC ONE SECURITIES CORPORATION
December 27, 2001 - January 16, 2003
UNION PLANTERS INVESTMENT ADVISORS, INC.
October 30, 2001 - February 27, 2003
PFIC SECURITIES CORPORATION
March 27, 2001 - December 4, 2001
QUICK & REILLY, INC.
August 15, 2000 - February 27, 2001
BANC ONE SECURITIES CORPORATION
January 10, 2000 - July 21, 2000
FIFTH THIRD SECURITIES, INC.
February 1, 1999 - December 23, 1999
BANC ONE SECURITIES CORPORATION
June 5, 1998 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
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.
