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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
NJ RA APPROVED 2025-01-23
  • NJ RA
    APPROVED
    Since 2025-01-23

Branch Locations

Hillsdale, NJ • United States

11 Sunflower Avenue Suite 2000, Paramus, NJ 07652 • 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
Metlife Securities Inc. Fort Lee NJ 01/2015 03/2017
Mml Investors Services, Llc Fairfield NJ 03/2017 12/2024
Massmutual Life Insurance Co Fairfield NJ 07/2016 12/2024
Lpl Enterprise Paramus NJ 01/2025 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Fort Lee, NJ
  • 03/2017 → 12/2024
    Fairfield, NJ
  • 07/2016 → 12/2024
    Massmutual Life Insurance Co
    Fairfield, NJ
  • 01/2025 → Present
    Lpl Enterprise
    Paramus, NJ
Previous Registrations
  • 2017-03-25 → 2024-12-23
    Fort Lee, NJ
    Fairfield, NJ
    Northvale, NJ
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Fort Lee, NJ
  • 2011-07-07 → 2015-01-02
    New England Securities
    Fairfield, NJ
    Englewood Cliffs, NJ
    Fort Lee, NJ
Other Businesses

1) 01/02/2025 - Je C Park - Non-Variable Insurance - start date 04/01/2003 - 50 hrs/mth - Englewood Cliffs, NJ - investment related 2) 01/02/2025 - Je C Park - Property and Casualty - start date 08/01/2018 - 25 hrs/mth - Englewood Cliffs, NJ - investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-03
S63 Uniform Securities Agent State Law Examination 2003-02-06
  • S65 Uniform Investment Adviser Law Examination
    2011-06-03
  • S63 Uniform Securities Agent State Law Examination
    2003-02-06

View on SEC IAPD

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