Arnold M. Axelrod
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.
Arnold Mark Axelrod was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1969. Arnold had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 53, Series 4, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2017 - August 16, 2019
LPL FINANCIAL LLC
August 16, 2017 - August 16, 2019
LPL FINANCIAL LLC
April 4, 2005 - June 27, 2016
FIFTH THIRD SECURITIES, INC.
May 2, 2001 - June 27, 2016
FIFTH THIRD SECURITIES, INC.
January 24, 1997 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
April 27, 1995 - December 11, 1996
INTERCAROLINA FINANCIAL SERVICES, INC.
May 8, 1986 - June 4, 1993
BANC ONE SECURITIES CORPORATION
April 10, 1981 - November 20, 1985
FIDELITY BROKERAGE SERVICES LLC
December 20, 1977 - November 17, 1980
AMERIPRISE ADVISOR SERVICES, INC.
June 18, 1970 - January 7, 1974
SOMERSET EQUITIES CORPORATION
February 26, 1969 - May 25, 1973
PROFIT SHARING INVESTMENTS 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: 2/8/1966
Registered Representative ExaminationF04
Date: 2/18/1974
Financial Principal ExaminationSeries 00
Date: 12/12/1967
General Securities Principal 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.
