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Steven Malfitano

SVP, Finance Capital Management and Principal Financial Officer at LPL Financial

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

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Steven Malfitano is SVP, Finance Capital Management and Principal Financial Officer of LPL Financial LLC, a Fort Mill investment adviser managing $819B. Steven Malfitano has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at LPL Financial

Title on Schedule A
SVP, Finance Capital Management and Principal Financial Officer
Control
Steven Malfitano is a control person of LPL Financial.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Malfitano has held the filed role since September 2023.

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 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2006
  4. Passed Series 7 and Series 63 · 1999

Registrations and exams

Broker registration; no current adviser registration. Steven Malfitano has passed 5 qualifying exams.

Examinations

Series 6310 September 1999
Name
Uniform Securities Agent State Law Examination
Series 2714 December 2006
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 711 June 1999
Name
General Securities Representative Examination

Individual record

Full name
Steven Thomas Malfitano
CRD
3178848
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 Steven Malfitano work?

Steven Malfitano has been SVP, Finance Capital Management and Principal Financial Officer of LPL Financial LLC since September 2023, and is a control person of the firm.

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

Does Steven Malfitano have a current investment-adviser registration?

Steven Malfitano 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 Steven Malfitano passed?

Steven Malfitano has passed 5 licensing exams: the Series 7, Series 63, Series 27, SIE and Series 99TO. The earliest, the Series 7, was passed in June 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at LPL Financial

Sources

  1. IAPD individual record, CRD 3178848. 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 Steven Malfitano or LPL Financial LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.