Joseph W. Omalley
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.
Joseph William Omalley IV, CFP®, who also goes by Joe O'malley, Joseph William O'malley IV, Joseph William O'malley, Joseph William Omalley, Joseph Omalley, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 7 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
Start date: 2007
Experience
October 16, 2017 - October 19, 2020
LPL FINANCIAL LLC
October 16, 2017 - October 19, 2020
LPL FINANCIAL LLC
May 18, 2016 - October 24, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 4, 2016 - October 24, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 11, 2011 - March 31, 2016
BB&T INVESTMENT SERVICES, INC.
April 11, 2011 - March 31, 2016
BB&T INVESTMENT SERVICES, INC.
May 20, 2010 - April 13, 2011
WOODBURY FINANCIAL SERVICES, INC.
May 20, 2010 - April 13, 2011
WOODBURY FINANCIAL SERVICES, INC.
November 28, 2008 - May 24, 2010
SIGNATOR INVESTORS, INC.
October 10, 2008 - May 24, 2010
SIGNATOR INVESTORS, INC.
February 22, 2008 - October 22, 2008
MML INVESTORS SERVICES, LLC
December 12, 2007 - October 22, 2008
MML INVESTORS SERVICES, LLC
December 10, 2004 - March 3, 2006
VOYA FINANCIAL ADVISORS, 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 |
| 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.
