Carl P. Bressler
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.
Carl Patrick Bressler Jr, CIMA®, who also goes by Carl Patrick Bressler Jr, Patrick Bressler, Carl Patrick Bressler Jr, Carl Patrick Bressler, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 2007. Carl had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - May 31, 2022
LPL FINANCIAL LLC
June 15, 2020 - May 31, 2022
LPL FINANCIAL LLC
June 18, 2019 - June 8, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 17, 2019 - June 8, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 25, 2018 - June 17, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 2, 2018 - June 17, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 24, 2016 - December 19, 2017
RAYMOND JAMES & ASSOCIATES, INC.
February 2, 2016 - December 19, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 12, 2014 - November 24, 2014
ATCAPITAL MANAGEMENT
August 21, 2012 - April 7, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 5, 2007 - August 16, 2012
RAYMOND JAMES & ASSOCIATES, INC.
January 24, 2007 - April 7, 2014
RAYMOND JAMES & ASSOCIATES, 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.
