Philip Mark Allopenna

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2014 → Present
  Prudential Insurance Company Of America
  Shelton, CT
• 02/2014 → 11/2024
  Pruco Securities, Llc.
  Shelton, CT
• 11/2024 → Present
  Lpl Enterprise, Llc
  Shelton, CT

Previous Registrations

• 2015-02-13 → 2024-11-14
  Pruco Securities, Llc.
  Shelton, CT
  Stamford, CT

Other Businesses

1) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 2) 07/29/2026-PrimeForm Wealth Management-Financial Planner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 05/22/2026-160hrs/mth-130 hrs/mth during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-06
• S63 Uniform Securities Agent State Law Examination
  2014-04-27