Gino Esposito
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.
Gino Esposito, who also goes by Gina Esposito, was a registered financial professional .
Gino is a previously registered financial professional and started their career in finance in 2004. Gino had worked at 9 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
September 2, 2025 - October 16, 2025
LPL FINANCIAL LLC
September 2, 2025 - October 16, 2025
LPL FINANCIAL LLC
November 12, 2024 - September 3, 2025
EQUITABLE ADVISORS, LLC
November 12, 2024 - September 3, 2025
EQUITABLE ADVISORS, LLC
August 30, 2024 - October 18, 2024
CETERA INVESTMENT ADVISERS LLC
August 30, 2024 - October 18, 2024
CETERA INVESTMENT SERVICES LLC
June 30, 2015 - September 17, 2024
LPL FINANCIAL LLC
June 30, 2015 - September 17, 2024
LPL FINANCIAL LLC
September 5, 2013 - July 7, 2015
J.P. MORGAN SECURITIES LLC
September 5, 2013 - July 7, 2015
J.P. MORGAN SECURITIES LLC
August 26, 2011 - September 20, 2013
LPL FINANCIAL LLC
August 26, 2011 - September 20, 2013
LPL FINANCIAL LLC
January 26, 2009 - August 30, 2011
CHASE INVESTMENT SERVICES CORP.
January 26, 2009 - August 30, 2011
CHASE INVESTMENT SERVICES CORP.
October 3, 2006 - January 15, 2009
FIRST BROKERAGE AMERICA, L.L.C.
January 24, 2006 - October 13, 2006
FIFTH THIRD SECURITIES, INC.
August 11, 2004 - October 13, 2006
FIFTH THIRD SECURITIES, INC.
March 2, 2004 - July 19, 2004
BANC ONE SECURITIES CORPORATION
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.
