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LPl Enterprise, LLC CRD 8733
$24.9B regulatory AUM 12,118 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-08-17 |
| TX | RA | APPROVED_RES | 2026-08-17 |
Branch Locations
445 Broadhollow Road Suite 405, Melville, NY 11747 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 11/2013 | 01/2017 |
| Bank Of America, N.A. | New York | NY | 07/2014 | 01/2017 |
| Pruco Securities Llc | White Plains | NY | 01/2017 | 02/2020 |
| The Prudential Insurance Company Of America | White Plains | NY | 01/2017 | 02/2020 |
| The Prudential Insurance Company Of America | White Plains | NY | 03/2020 | 10/2020 |
| Pruco Securities, Llc | White Plains | NY | 03/2020 | 10/2020 |
| Mml Investors Services | New York | NY | 10/2020 | 09/2021 |
| Mass Mutual Life Insurance Company | New York | NY | 10/2020 | 09/2021 |
| Equitable Advisors, Llc | New York | NY | 09/2021 | 08/2026 |
| Barnum Financial Group | New York | NY | 11/2020 | 09/2021 |
| Lpl Enterprise, Llc | Melville | NY | 08/2026 | Present |
1. 8/11/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Astoria NY - OBA Start date: 06/17/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 2. 8/11/2026 - DANIEL VEGA N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Astoria NY - OBA Start date: 06/17/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-21 |
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