Jose F. Pinell Gadea
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.
Jose Franciso Pinell Gadea, who also goes by Jose Pinell, Jose Francisco Pinell Gadea, Jose Francisco Pinell-gadea, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2002. Jose had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 31 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
October 9, 2013 - December 16, 2014
LPL FINANCIAL LLC
October 9, 2013 - December 16, 2014
LPL FINANCIAL LLC
March 20, 2012 - August 21, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
March 20, 2012 - August 21, 2013
ALLSTATE FINANCIAL SERVICES, LLC
July 7, 2010 - July 29, 2011
WFP SECURITIES
July 2, 2010 - July 29, 2011
WFP SECURITIES
September 29, 2008 - April 8, 2009
MORGAN STANLEY & CO. LLC
July 25, 2007 - October 1, 2008
ERNST & YOUNG INVESTMENT ADVISERS LLP
June 24, 2005 - November 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2005 - November 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2004 - June 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 2004 - June 3, 2005
IDS LIFE INSURANCE COMPANY
September 28, 2004 - June 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2003 - August 7, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
June 19, 2002 - January 22, 2003
EDWARD JONES
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.
