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Dennis Vavassis

LPl Enterprise, LLC

Melville, NY

Leland, NC

CRD 1600921

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

Branch Locations

445 Broadhollow Road Suite 405, Melville, NY 11747 • United States

Leland, NC • 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
Fidelity Brokerage Services Llc New York NY 04/2016 09/2018
Pruco Securities, Llc. Forest Hills NY 08/2019 11/2024
Unemployed Cold Spring Harbor NY 09/2018 08/2019
Prudential Insurance Company Of America Forest Hills NY 09/2019 Present
Lpl Enterprise, Llc Forest Hills NY 11/2024 Present
  • 04/2016 → 09/2018
    Fidelity Brokerage Services Llc
    New York, NY
  • 08/2019 → 11/2024
    Pruco Securities, Llc.
    Forest Hills, NY
  • 09/2018 → 08/2019
    Unemployed
    Cold Spring Harbor, NY
  • 09/2019 → Present
    Prudential Insurance Company Of America
    Forest Hills, NY
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Forest Hills, NY
Previous Registrations
Other Businesses

1) 11/07/2025-Dennis Vavassis-Owner-Real Estate Rental-Inv related-At New Bern, NC-Start date 11/17/2025-1hrs/mth-0hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-03
S63 Uniform Securities Agent State Law Examination 2010-04-14
  • S66 Uniform Combined State Law Examination
    2021-11-03
  • S63 Uniform Securities Agent State Law Examination
    2010-04-14

View on SEC IAPD

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