Rachel A. Callahan
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.
Rachel Ann Callahan, who also goes by Rachel Ann Lackey Miss, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 1999. Rachel had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
September 19, 2022 - September 12, 2025
LPL FINANCIAL LLC
February 4, 2020 - September 21, 2022
MML INVESTORS SERVICES, LLC
January 17, 2020 - September 21, 2022
MML INVESTORS SERVICES, LLC
May 21, 2019 - August 6, 2019
MML INVESTORS SERVICES, LLC
May 1, 2019 - August 6, 2019
MML INVESTORS SERVICES, LLC
May 18, 2018 - February 12, 2019
LPL FINANCIAL LLC
May 18, 2018 - February 12, 2019
LPL FINANCIAL LLC
June 15, 2017 - May 18, 2018
SECURIAN FINANCIAL SERVICES, INC.
April 14, 2017 - May 18, 2018
SECURIAN FINANCIAL SERVICES, INC.
May 24, 2010 - August 17, 2016
MML INVESTORS SERVICES, LLC
January 12, 2010 - April 28, 2010
SECURIAN FINANCIAL SERVICES, INC.
March 8, 2007 - May 29, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
September 18, 2006 - May 29, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 7, 2006 - July 7, 2006
CETERA INVESTMENT SERVICES LLC
May 10, 2004 - June 30, 2006
MML INVESTORS SERVICES, LLC
May 8, 2002 - August 18, 2003
CITIZENS SECURITIES, INC.
December 16, 1999 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, 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.
