Frank Mastrosimone

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

• 01/2003 → 12/2019
  Royal Alliance Associates, Inc.
  West Orange, NJ
• 12/2019 → Present
  Prudential Insurance Company Of America
  Basking Ridge, NJ
• 12/2019 → 11/2024
  Pruco Securities, Llc.
  Basking Ridge, NJ
• 11/2024 → Present
  Lpl Enterprise, Llc
  Basking Ridge, NJ

Previous Registrations

• 2020-02-05 → 2024-11-14
  Pruco Securities, Llc.
  East Hanover, NJ
  Basking Ridge, NJ
  East Hanover, NJ
• 2005-09-16 → 2019-12-31
  Osaic Wealth, Inc.
  Verona, NJ
  West Orange, NJ

Other Businesses

1) 09/20/2024- Weichert Realtors- Occasionally assisting my wife with her Real Estate transactions- Mortgage/Real Estate Services- INV Related- Basking Ridge, NJ- Start Date 02/10/2011- 4hrs/mth- 1hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-05-27
• S63 Uniform Securities Agent State Law Examination
  1985-07-29