Debra K. Radley

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CRD#: 4207216

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.

Debra K Radley, who also goes by Debra K. Policky, was a registered financial professional .

Debra is a previously registered financial professional and started their career in finance in 2000. Debra had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Debra K. Policky

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)07/16/2019 - Pioneer Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2019 2)07/16/2019 - Radley Fine Furniture - Family Business - bookkeeping for my husband's furniture business - inv rel - Rapid City, SD - start: 01/2003

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 22, 2019 - June 24, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

RAPID CITY, SD

Past

July 17, 2019 - June 24, 2024

LPL FINANCIAL LLC

CRD#: 6413

RAPID CITY, SD

Past

September 21, 2016 - August 11, 2017

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

RAPID CITY, SD

Past

September 19, 2016 - August 15, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

Rapid City, SD

Past

January 21, 2014 - September 15, 2016

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

RAPID CITY, SD

Past

March 12, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

RAPID CITY, SD

Past

October 17, 2012 - September 15, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

RAPID CITY, SD

Past

April 9, 2007 - July 31, 2012

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

July 11, 2000 - November 21, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 12/19/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/25/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

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	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

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.

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Debra K. Radley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

UNITED CAPITAL FINANCIAL ADVISORS

GIRARD SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

PLANMEMBER SECURITIES CORPORATION

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2013

Series 63

Date: 9/21/2007

SIE

Date: 8/15/2017

Series 7

Date: 10/9/2008

Series 6

Date: 4/6/2007

Series 24

Date: 5/4/2009

Series 51

Date: 12/19/2007

Series 26

Date: 4/25/2007

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

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