Marlene M. Mckenna
Professional summary
Marlene Marcello Mckenna was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marlene is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Marlene had worked at 9 firms, which includes LPL FINANCIAL LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, KEOGLER MORGAN & COMPANY INC., WALNUT STREET SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., JANNEY MONTGOMERY SCOTT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BARCLAY INVESTMENTS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1997 - December 16, 1998
LPL FINANCIAL LLC
June 26, 1996 - March 21, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 23, 1993 - May 30, 1996
KEOGLER, MORGAN & COMPANY, INC.
February 2, 1993 - September 30, 1993
WALNUT STREET SECURITIES, INC.
November 14, 1988 - December 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 6, 1982 - November 29, 1988
LEHMAN BROTHERS INC.
June 12, 1980 - July 16, 1982
JANNEY MONTGOMERY SCOTT LLC
October 25, 1978 - June 15, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 1977 - November 5, 1978
BARCLAY INVESTMENTS LLC
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
PC
Date: 5/1/1977
AMEX Put and Call ExamCurrent 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.
