Niva WealthLet’s talk

Matthew Audette

President and Chief Financial Officer 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

Matthew Audette is President and Chief Financial Officer of LPL Financial LLC, a Fort Mill investment adviser managing $819B. Matthew Audette has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO, SIE and Series 24.

Role at LPL Financial

Title on Schedule A
President and Chief Financial Officer
Control
Matthew Audette is a control person of LPL Financial.
Ownership
An individual ownership band is not available in the source record.
Tenure
Matthew Audette has held the filed role since September 2015.

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 · 2025
  2. Passed Series 99TO and SIE · 2023
  3. Passed Series 27 · 1999

Registrations and exams

Broker registration; no current adviser registration. Matthew Audette has passed 4 qualifying exams.

Examinations

Series 249 June 2025
Name
General Securities Principal Examination
Series 2719 October 1999
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Matthew Jon Audette
CRD
4003349
Firm
LPL Financial LLC
Registration status
Broker registration; no current adviser registration
Firm bio
lpl.com

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

Background

Matt Audette serves as LPL Financial’s president and chief financial officer. Official firm biography

Education

Common questions

Where does Matthew Audette work?

Matthew Audette has been President and Chief Financial Officer of LPL Financial LLC since September 2015, and is a control person of the firm.

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

Does Matthew Audette have a current investment-adviser registration?

Matthew Audette 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 Matthew Audette passed?

Matthew Audette has passed 4 licensing exams: the Series 27, Series 99TO, SIE and Series 24. The earliest, the Series 27, was passed in October 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at LPL Financial

Sources

  1. IAPD individual record, CRD 4003349. 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.
  3. LPL Financial team page. Biography, education, credentials, awards.

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 Matthew Audette or LPL Financial LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.