Gary E. Eckebrecht
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.
Gary Eugene Eckebrecht was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1981. Gary had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 9, 2018 - January 30, 2019
LPL FINANCIAL LLC
August 11, 2016 - October 12, 2017
INSPEREX LLC
August 11, 2016 - October 12, 2017
INCAPITAL DISTRIBUTORS LLC
September 15, 2015 - August 2, 2016
COMERICA SECURITIES
December 10, 2013 - June 24, 2014
QUESTAR CAPITAL CORPORATION
March 22, 2012 - October 23, 2012
INNOVATION PARTNERS LLC
April 23, 2010 - November 4, 2010
SIGNATOR FINANCIAL SERVICES, INC.
June 13, 2003 - May 12, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 27, 2003 - June 13, 2003
PRUCO SECURITIES, LLC.
December 19, 2001 - March 3, 2003
FORESIDE PLAZA DISTRIBUTORS, LLC
January 1, 1997 - August 8, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 7, 1994 - January 1, 1997
PRUCO SECURITIES, LLC.
January 6, 1993 - October 4, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
February 14, 1992 - June 9, 1992
MARKETING ONE SECURITIES, INC.
February 22, 1988 - December 12, 1990
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 25, 1987 - December 14, 1987
DELAWARE DISTRIBUTORS, L.P.
August 13, 1982 - March 19, 1987
METLIFE INVESTORS DISTRIBUTION COMPANY
January 19, 1981 - July 9, 1982
UBS FINANCIAL SERVICES 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.
