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Earl E Phillips

LPl Enterprise, LLC

Auburn, NY

CRD 1775959

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-14
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

33 William Street Suite 8, Auburn, NY 13021 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Auburn NY 10/1987 Present
Pruco Securities, Llc. Auburn NY 10/1987 11/2024
Lpl Enterprise, Llc Auburn NY 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-09-29
  • S63 Uniform Securities Agent State Law Examination
    1988-09-29

View on SEC IAPD

Nearby Firms

KEY INVESTMENT SERVICES LLC
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Nearby Investors

ANDREW BARTHOLOMEW
Daniel R Figueiredo
DOMTILLA NERI

Nearby Offices

KEY INVESTMENT SERVICES LLC · Auburn, NY
LPL FINANCIAL LLC · AUBURN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Auburn, NY

More in Auburn, NY

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