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Brent Simonich

Managing Director, Chief Risk Officer, Head of Business Operations at LPL Financial

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brent Simonich is Managing Director, Chief Risk Officer, Head of Business Operations of LPL Financial LLC, a Fort Mill investment adviser managing $819B. Brent Simonich has a current broker registration and no current investment-adviser registration and has passed the Series 27, SIE, Series 99TO and Series 24.

Role at LPL Financial

Title on Schedule A
Managing Director, Chief Risk Officer, Head of Business Operations
Control
Brent Simonich is a control person of LPL Financial.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brent Simonich has held the filed role since April 2022.

The firm

LPL Financial LLC
Fort Mill, SC

Form ADV filed 21 September 2026

$819B AUM1,986,990 clients36,280 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 24 · 2026
  2. Passed SIE and Series 99TO · 2023
  3. Passed Series 27 · 2009

Registrations and exams

Broker registration; no current adviser registration. Brent Simonich has passed 4 qualifying exams.

Examinations

Series 247 April 2026
Name
General Securities Principal Examination
Series 2720 July 2009
Name
Financial and Operations Principal Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination

Individual record

Full name
Brent Blain Simonich
CRD
3254859
Firm
LPL Financial LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brent Simonich work?

Brent Simonich has been Managing Director, Chief Risk Officer, Head of Business Operations of LPL Financial LLC since April 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 21 September 2026

Does Brent Simonich have a current investment-adviser registration?

Brent Simonich has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brent Simonich passed?

Brent Simonich has passed 4 licensing exams: the Series 27, SIE, Series 99TO and Series 24. The earliest, the Series 27, was passed in July 2009.

Source: IAPD individual record, checked 17 October 2026

Leadership at LPL Financial

Sources

  1. IAPD individual record, CRD 3254859. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of LPL Financial LLC, filed 21 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brent Simonich or LPL Financial LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.