Robert M. Dahlstedt
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.
Robert Morton Dahlstedt, who also goes by Bob Dahlstedt, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 1, Series 51 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
May 16, 2016 - November 6, 2017
LPL FINANCIAL LLC
September 18, 2014 - May 16, 2016
PROTECTED INVESTORS OF AMERICA
January 2, 2009 - September 12, 2014
FINANCIAL TELESIS INC
September 16, 2003 - May 12, 2008
FOOTHILL SECURITIES, INC.
September 16, 2003 - December 31, 2008
FOOTHILL SECURITIES, INC.
July 8, 1997 - September 26, 2003
OSAIC WEALTH, INC.
July 8, 1997 - October 31, 2017
ALADINO FINANCIAL SERVICES, INC.
January 2, 1992 - September 26, 2003
OSAIC WEALTH, INC.
December 10, 1990 - January 3, 1992
FSC SECURITIES CORPORATION
August 16, 1990 - December 19, 1990
E.F. DALY FINANCIAL GROUP
November 19, 1989 - August 17, 1990
OSAIC WEALTH, INC.
August 6, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 28, 1982 - August 22, 1985
CAL-CAP SECURITIES, INC.
November 20, 1973 - October 13, 1982
WESCO 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
Series 1
Date: 11/15/1973
Registered Representative ExaminationCurrent 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.
