Anestis John Diakopoulos

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
RI	RA	APPROVED	2024-11-14

RI RA
APPROVED

Since 2024-11-14

Branch Locations

E Greenwich, RI • United States

475 Kilvert Street Suite 135, Warwick, RI 02886 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Prudential Insurance Company Of America	Warwick	RI	09/2009	Present
Pruco Securities, Llc.	Warwick	RI	09/2009	11/2024
Lpl Enterprise, Llc	Warwick	RI	11/2024	Present

09/2009 → Present

Prudential Insurance Company Of America

Warwick, RI
09/2009 → 11/2024

Pruco Securities, Llc.

Warwick, RI
11/2024 → Present

Lpl Enterprise, Llc

Warwick, RI

Previous Registrations

2013-01-14 → 2024-11-14

Pruco Securities, Llc.

Warwick, RI

Warwick, RI

East Greenwich, RI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-01-26
S63	Uniform Securities Agent State Law Examination	2010-01-04
S66	Uniform Combined State Law Examination	1998-01-16

S65 Uniform Investment Adviser Law Examination

2016-01-26
S63 Uniform Securities Agent State Law Examination

2010-01-04
S66 Uniform Combined State Law Examination

1998-01-16

Other Names

Anestis J Diakopoulos

View on SEC IAPD