Landis G. Thompson
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.
Landis Griffin Thompson was a registered financial professional .
Landis is a previously registered financial professional and started their career in finance in 2008. Landis had worked at 13 firms and has passed the Series 66, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2017 - October 16, 2018
LPL FINANCIAL LLC
December 1, 2017 - October 16, 2018
LPL FINANCIAL LLC
February 23, 2017 - August 31, 2017
FINANCIAL WEST GROUP
February 21, 2017 - August 31, 2017
FINANCIAL WEST GROUP
February 2, 2015 - January 4, 2016
JUMPSTART SECURITIES, LLC
February 25, 2014 - October 13, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
November 5, 2013 - September 15, 2014
SANDLAPPER SECURITIES, LLC
April 8, 2013 - October 18, 2013
FINANCIAL WEST GROUP
April 8, 2013 - October 18, 2013
FINANCIAL WEST GROUP
September 18, 2012 - December 10, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
September 18, 2012 - December 10, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 7, 2012 - September 5, 2012
PRINCIPAL SECURITIES, INC.
February 1, 2012 - September 5, 2012
PRINCIPAL SECURITIES, INC.
October 3, 2011 - October 27, 2011
CL WEALTH MANAGEMENT LLC
October 3, 2011 - October 27, 2011
ALLIED BEACON PARTNERS, INC.
March 17, 2011 - September 30, 2011
WORKMAN SECURITIES CORPORATION
March 17, 2011 - September 30, 2011
WORKMAN SECURITIES CORPORATION
January 4, 2010 - December 31, 2010
WORKMAN SECURITIES CORPORATION
January 4, 2010 - December 31, 2010
WORKMAN SECURITIES CORPORATION
June 2, 2009 - August 6, 2009
AMERICAN BEACON PARTNERS, INC.
April 6, 2009 - May 21, 2009
KCD FINANCIAL, INC.
December 24, 2008 - May 21, 2009
KCD FINANCIAL, INC.
June 4, 2008 - December 31, 2008
NEWPORT COAST SECURITIES, 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.
