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SVP, Finance Capital Management and Principal Financial Officer · LPL Financial LLC

Steven Thomas Malfitano

CRD 3178848 · Named on Form ADV at 2 SEC-registered advisers

At a glance

LPL Financial LLC, an SEC-registered broker-dealer firm based in Fort Mill, SC with $819.1 billion in regulatory assets, lists Steven Thomas Malfitano on its Form ADV as SVP, Finance Capital Management and Principal Financial Officer, a control person. The SEC filings also name Steven at 1 other registered adviser.

Firms and roles

  • LPL Financial LLCSVP, Finance Capital Management and Principal Financial OfficerBroker-dealer firm · Fort Mill, SC · $819B in regulatory assets
  • LPL Enterprise, LLCPrincipal Financial Officer and Principal Operations Officer, FinopBroker-dealer firm · Fort Mill, SC · $25B in regulatory assets

AtlasMembers

Steven’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (11)

6 more people named with Steven on the same filings, with titles and firms. Free in Atlas with a free account.

See all 11 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Steven’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.