Melissa K. Grudin
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.
Melissa Kaplan Grudin, who also goes by Melissa Sue Kaplan, Melissa Sue Parker, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 1979. Melissa had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2016 - September 8, 2017
LPL FINANCIAL LLC
July 13, 2016 - September 8, 2017
LPL FINANCIAL LLC
June 6, 2007 - July 14, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 5, 2007 - July 14, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 8, 2006 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
April 24, 2006 - May 10, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 8, 2006 - May 10, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 30, 2006 - February 6, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 29, 2005 - February 7, 2006
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
October 29, 2003 - February 6, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 13, 2003 - September 25, 2003
NORTHWESTERN MUTUAL TRUST COMPANY
April 17, 2003 - September 25, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 25, 2002 - May 28, 2002
FINANCIAL TELESIS INC
December 1, 1995 - June 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 14, 1992 - November 27, 1995
SCHRODER & CO. INC.
April 18, 1985 - January 31, 1992
J.P. MORGAN SECURITIES LLC
September 14, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
July 16, 1982 - August 24, 1983
KIDDER, PEABODY & CO. INCORPORATED
May 23, 1980 - August 2, 1982
CITIGROUP GLOBAL MARKETS INC.
June 20, 1979 - April 11, 1980
J.C. BRADFORD & CO.
February 1, 1979 - April 9, 1979
CALIFORNIA MUNICIPAL INVESTORS, 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 5
Date: 10/12/1981
Interest Rate Options 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.
