Best Investors Account Sign in

Sidney Harold Kowal

LPl Enterprise, LLC

Port Washington, NY

New York, NY

CRD 3274532

Claim This Profile
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

Port Washington, NY • United States

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • 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
Pruco Securities, Llc. Ny NY 07/1999 11/2024
Prudential Insurance Company Of America New York NY 07/1999 Present
Lpl Enterprise, Llc New York NY 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-20
  • S66 Uniform Combined State Law Examination
    1999-08-20

View on SEC IAPD

Nearby Firms

ACADIA INFRASTRUCTURE CAPITAL LP
FACT CAPITAL, L.P.
GREENWOOD INVESTORS LLC

Nearby Investors

STEVEN DUNCAN WOOD
ELLEN MARIE LAZARUS
GORDON STIER

Nearby Offices

ACADIA INFRASTRUCTURE CAPITAL LP · NEW YORK, NY
FACT CAPITAL, L.P. · NEW YORK, NY
GREENWOOD INVESTORS LLC · NEW YORK, NY

More in Port Washington, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor