Avinash D. Deshpande
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.
Avinash Dattatraya Deshpande, who also goes by Avinash D Deshpande, Raj Deshpande, Raju Deshpande, was a registered financial professional .
Avinash is a previously registered financial professional and started their career in finance in 1976. Avinash had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2020 - August 14, 2024
LPL FINANCIAL LLC
January 18, 2019 - May 21, 2020
ATLAS PRIVATE WEALTH ADVISORS
May 22, 2013 - January 15, 2019
PRIVATE ADVISOR GROUP, LLC
November 9, 2010 - October 29, 2015
LPL FINANCIAL LLC
November 9, 2010 - August 14, 2024
LPL FINANCIAL LLC
January 3, 2005 - November 15, 2010
KESTRA INVESTMENT SERVICES, LLC
January 3, 2005 - November 15, 2010
KESTRA INVESTMENT SERVICES, LLC
July 30, 2002 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
December 2, 1997 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
June 11, 1996 - December 11, 1997
NYLIFE SECURITIES LLC
February 20, 1996 - May 15, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 20, 1996 - May 15, 1996
EQUITABLE ADVISORS, LLC
October 3, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 3, 1988 - January 24, 1996
MONY SECURITIES CORPORATION
January 15, 1987 - April 26, 1988
LINSCO FINANCIAL GROUP, INC.
June 13, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
March 16, 1978 - September 12, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 16, 1978 - September 12, 1988
SIGNATOR INVESTORS, INC.
April 1, 1976 - January 19, 1978
FORESTERS 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
Series 1
Date: 3/25/1976
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
