Bryce A. Hamilton
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.
Bryce Austin Hamilton, who also goes by Bryce Austin Hamilton, Bryce Hamilton, was a registered financial professional .
Bryce is a previously registered financial professional and started their career in finance in 2001. Bryce had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2024 - October 4, 2024
LPL FINANCIAL LLC
July 10, 2024 - October 4, 2024
LPL FINANCIAL LLC
November 6, 2023 - May 28, 2024
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
November 6, 2023 - May 28, 2024
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
October 17, 2023 - October 31, 2023
KINGSWOOD WEALTH ADVISORS, LLC
November 15, 2021 - October 31, 2023
KINGSWOOD CAPITAL PARTNERS, LLC
September 13, 2021 - June 30, 2023
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
March 16, 2021 - October 5, 2021
FORTA FINANCIAL GROUP, INC.
March 15, 2021 - December 9, 2021
FORTA FINANCIAL GROUP, INC.
June 7, 2018 - March 11, 2021
CENTAURUS FINANCIAL, INC.
November 11, 2015 - March 11, 2021
CENTAURUS FINANCIAL, INC.
April 3, 2013 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
July 13, 2012 - March 15, 2013
KBR CAPITAL MARKETS, LLC
January 3, 2011 - June 8, 2012
TNP SECURITIES, LLC
June 29, 2010 - October 29, 2010
SELECT CAPITAL CORPORATION
September 10, 2009 - June 22, 2010
TRANSAMERICA CAPITAL, LLC
April 13, 2004 - August 28, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 8, 2001 - February 11, 2004
EQUITABLE DISTRIBUTORS, 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
