Steve S. Chon
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.
Steve S Chon, who also goes by Sang S. Chon, Sang Steve Chon, Steve S. Chon, Steve Sang Chon, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2006. Steve had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2015 - March 8, 2016
LPL FINANCIAL LLC
August 26, 2015 - March 8, 2016
LPL FINANCIAL LLC
March 6, 2015 - August 6, 2015
LPL FINANCIAL LLC
November 20, 2014 - February 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2010 - December 12, 2012
PANAMERA CAPITAL, LLC
May 27, 2008 - January 29, 2010
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 26, 2007 - December 6, 2007
MORGAN STANLEY & CO. LLC
July 26, 2007 - December 6, 2007
MORGAN STANLEY & CO. LLC
April 18, 2007 - June 22, 2007
MSI FINANCIAL SERVICES, INC.
March 30, 2007 - June 22, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 2007 - June 22, 2007
MSI FINANCIAL SERVICES, INC.
June 5, 2006 - February 5, 2007
WELLS FARGO INVESTMENTS, LLC
April 13, 2006 - February 5, 2007
WELLS FARGO INVESTMENTS, 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 |
| 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.
