Luis Rusbaldo Morales

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

Authority	Category	Status	Date
NJ	RA	APPROVED	2026-03-11

NJ RA
APPROVED

Since 2026-03-11

Branch Locations

101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733 • 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

Organization	City	State	From	To
Bbva	New York	NY	10/2024	05/2025
The Vanguard Group	Malvern	PA	05/2023	10/2024
Fidelity	Jersey City	NJ	10/2021	05/2023
Quaestor Trade	New Brunswick	NJ	10/2020	10/2021
Jp Morgan	Newark	DE	05/2016	10/2020
Principal Financial	Des Moines	IA	12/2015	05/2016
Lui Omura Contrator Llc	Avenel	NJ	08/2025	12/2025
Lpl Enterprise	Basking Ridge	NJ	12/2025	Present

10/2024 → 05/2025

Bbva

New York, NY
05/2023 → 10/2024

The Vanguard Group

Malvern, PA
10/2021 → 05/2023

Fidelity

Jersey City, NJ
10/2020 → 10/2021

Quaestor Trade

New Brunswick, NJ
05/2016 → 10/2020

Jp Morgan

Newark, DE
12/2015 → 05/2016

Principal Financial

Des Moines, IA
08/2025 → 12/2025

Lui Omura Contrator Llc

Avenel, NJ
12/2025 → Present

Lpl Enterprise

Basking Ridge, NJ

Other Businesses

1. 12/03/2025 - Lui Omura Contractor LLC - Business Owner - Woodbridge Township NJ - Not investment related - OBA start date: 10/01/2025 - 10 Hour(s)/Month - 00 Hour(s) During Trading 2. 12/03/2025 - LUIS MORALES N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Avenel NJ - investment related - OBA start date: 12/02/2025 - 160 Hour(s)/Month - 160 Hour(s) During Trading 3. 12/03/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Avenel NJ - investment related - OBA start date: 12/02/2025 - 160 Hour(s)/Month - 160 Hour(s) During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-03-09

S66 Uniform Combined State Law Examination

2026-03-09

Other Names

Luis Morales

View on SEC IAPD