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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
MA RA APPROVED 2024-11-01
TX RA APPROVED 2024-10-10
SC RA APPROVED 2024-09-26
  • MA RA
    APPROVED
    Since 2024-11-01
  • TX RA
    APPROVED
    Since 2024-10-10
  • SC RA
    APPROVED
    Since 2024-09-26

Branch Locations

Hopkinton, MA • United States

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

Hopkinton, MA • 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
Global Atlantic Financial Group Southborough MA 09/2013 08/2022
Forethought Distributor, Llc Simsbury CT 05/2014 08/2022
Epoch Securities Southborough MA 10/2013 08/2022
The Prudential Insurance Company Of America Hopkinton Center MA 11/2022 09/2024
Pruco Securities, Llc Hopkinton Center MA 11/2022 09/2024
Lpl Enterprise, Llc Fort Mill SC 09/2024 Present
  • 09/2013 → 08/2022
    Global Atlantic Financial Group
    Southborough, MA
  • 05/2014 → 08/2022
    Forethought Distributor, Llc
    Simsbury, CT
  • 10/2013 → 08/2022
    Epoch Securities
    Southborough, MA
  • 11/2022 → 09/2024
    The Prudential Insurance Company Of America
    Hopkinton Center, MA
  • 11/2022 → 09/2024
    Pruco Securities, Llc
    Hopkinton Center, MA
  • 09/2024 → Present
    Fort Mill, SC
Previous Registrations
  • 2011-08-12 → 2013-09-13
    New England Securities
    Boston, MA
    Boston, MA
  • 2010-10-15 → 2013-09-13
    Msi Financial Services, Inc.
    Boston, MA
    Boston, MA
  • 2011-08-12 → 2013-09-05
    Tower Square Securities, Inc.
    New York, NY
    Boston, MA
  • 2011-08-12 → 2013-09-05
    Walnut Street Securities, Inc.
    New York, NY
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-12
  • S66 Uniform Combined State Law Examination
    2002-04-12
Designations
  • Certified Financial Planner
Other Names
  • Dahmen M Lariviere
  • Dahmen Michael Lariviere

View on SEC IAPD

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