Daniel Larsen
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.
Daniel Larsen, who also goes by Dan Larsen, Jonathan Daniel Larsen, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 11 firms and has passed the Series 66, 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 19, 2023 - February 12, 2024
LPL FINANCIAL LLC
August 1, 2023 - February 12, 2024
LPL FINANCIAL LLC
June 12, 2019 - September 22, 2022
TRUIST ADVISORY SERVICES, INC.
April 29, 2019 - September 22, 2022
TRUIST INVESTMENT SERVICES, INC.
October 25, 2017 - April 29, 2019
RAYMOND JAMES & ASSOCIATES, INC.
October 25, 2017 - April 29, 2019
RAYMOND JAMES & ASSOCIATES, INC.
August 5, 2016 - October 11, 2017
GIRARD INVESTMENT SERVICES, LLC
August 4, 2016 - October 12, 2017
GIRARD PARTNERS LTD.
May 19, 2015 - August 2, 2016
UBS FINANCIAL SERVICES INC.
May 11, 2015 - August 2, 2016
UBS FINANCIAL SERVICES INC.
September 15, 2011 - May 15, 2012
J.P. MORGAN SECURITIES LLC
September 14, 2011 - May 18, 2015
J.P. MORGAN SECURITIES LLC
June 1, 2009 - August 17, 2011
MORGAN STANLEY
June 1, 2009 - August 17, 2011
MORGAN STANLEY
March 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 4, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 22, 2006 - April 30, 2008
BOSTON RESEARCH AND MANAGEMENT, INC.
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.
