Stewart C. Paskalis
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.
Stewart Charles Paskalis was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1972. Stewart had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2025 - December 5, 2025
LPL FINANCIAL LLC
October 3, 2016 - December 31, 2024
CETERA ADVISORS LLC
February 24, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
August 5, 2000 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 8, 1998 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
May 18, 1990 - February 9, 1998
UBS FINANCIAL SERVICES INC.
May 14, 1988 - May 29, 1990
LEHMAN BROTHERS INC.
May 6, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
February 23, 1979 - March 28, 1983
MOSELEY SECURITIES CORPORATION
May 9, 1978 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
February 24, 1978 - July 19, 1978
MORGAN STANLEY DW INC.
December 10, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
June 28, 1972 - November 20, 1975
BACHE & CO INCORPORATED
April 10, 1972 - July 5, 1972
MERRILL LYNCH PIERCE FENNER P SMITH 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 4/27/1983
AMEX Put and Call ExamSeries 1
Date: 4/5/1972
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.
