Robert Joseph Niles

LPl Enterprise, LLC

CRD 4300179

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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

Authority	Category	Status	Date
NY	RA	APPROVED	2024-11-14

NY RA
APPROVED

Since 2024-11-14

Branch Locations

Bayshore, NY • United States

445 Broadhollow Road Suite 405, Melville, NY 11747 • 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

Organization	City	State	From	To
Aegis Capital Corp	New York	NY	06/2011	08/2023
Pruco Securities Llc	Melville	NY	09/2023	11/2024
The Prudential Insurance Company Of America	Melville	NY	11/2023	Present
Lpl Enterprise, Llc	Melville	NY	11/2024	Present

06/2011 → 08/2023

Aegis Capital Corp

New York, NY
09/2023 → 11/2024

Pruco Securities Llc

Melville, NY
11/2023 → Present

The Prudential Insurance Company Of America

Melville, NY
11/2024 → Present

Lpl Enterprise, Llc

Melville, NY

Previous Registrations

2023-11-14 → 2024-11-14

Pruco Securities, Llc.

Melville, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-14
S63	Uniform Securities Agent State Law Examination	2000-12-04

S66 Uniform Combined State Law Examination

2023-11-14
S63 Uniform Securities Agent State Law Examination

2000-12-04

Other Names

Robert Joe Niles

View on SEC IAPD

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