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Robert Ian Friedman

LPl Enterprise, LLC

Forest Hills, NY

Melville, NY

CRD 1193969

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

Branch Locations

Forest Hills, NY • United States

445 Broadhollow Road Suite 405, Melville, NY 11747 • 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
Pruco Securities, Llc. Forest Hills NY 02/1983 11/2024
Prudential Insurance Company Of America Forest Hills NY 02/1983 Present
Lpl Enterprise, Llc Jericho NY 11/2024 Present
Previous Registrations
  • 2021-06-07 → 2024-11-14
    Pruco Securities, Llc.
    Howard Beach, NY
    Forest Hills, NY
    Flushing, NY
    Forest Hills, NY
    Jericho, NY
    Forest Hills, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-06-02
S65 Uniform Investment Adviser Law Examination 2001-05-31
  • S63 Uniform Securities Agent State Law Examination
    2011-06-02
  • S65 Uniform Investment Adviser Law Examination
    2001-05-31

View on SEC IAPD

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