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Joseph Michael Cifuni

LPl Enterprise, LLC

Georgetown, MA

Wakefield, MA

CRD 5757856

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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 2024-11-14
  • MA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Georgetown, MA • United States

500 Edgewater Drive Suite 595, Wakefield, MA 01880 • 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
Prudential Insurance Company Of America Wakefield MA 01/2010 Present
Pruco Securities, Llc. Wakefield MA 01/2010 11/2024
Lpl Enterprise, Llc Georgetown MA 11/2024 Present
Previous Registrations
  • 2022-01-18 → 2024-11-14
    Pruco Securities, Llc.
    Wakefield, MA
    Georgetown, MA
    Georgetown, MA
    Georgetown, MA
    Wakefield, MA
Other Businesses

1) 03/17/2025-Joseph Cifuni-Property and Casualty-Agent-Inv Related-At Georgetown, MA-Start date 11/01/2024-10hrs/mth-10hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-13
S63 Uniform Securities Agent State Law Examination 2010-04-29
  • S65 Uniform Investment Adviser Law Examination
    2022-01-13
  • S63 Uniform Securities Agent State Law Examination
    2010-04-29
Other Names
  • Joseph Cifuni

View on SEC IAPD

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