Best Investors Account Sign in

Vincent Mauro

LPl Enterprise, LLC

Warners, NY

Warners, NY

Fort Mill, SC

CRD 3238705

Claim This Profile
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
TX RA APPROVED 2024-10-21
NY RA APPROVED 2024-09-27
SC RA APPROVED 2024-09-27
  • TX RA
    APPROVED
    Since 2024-10-21
  • NY RA
    APPROVED
    Since 2024-09-27
  • SC RA
    APPROVED
    Since 2024-09-27

Branch Locations

Warners, NY • United States

Warners, NY • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Cadaret Grant And Comany Inc Syracuse NY 06/2005 05/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2017 12/2017
Northwestern Mutual Investment Services Llc E Syracuse NY 06/2017 12/2017
Cadaret, Grant & Co., Inc. Syracuse NY 01/2018 04/2022
Pruco Securities, Llc Warners NY 04/2022 09/2024
The Prudential Insurance Company Of America Warners NY 04/2022 09/2024
Lpl Enterprise, Llc Fort Mill SC 09/2024 Present
  • 06/2005 → 05/2017
    Cadaret Grant And Comany Inc
    Syracuse, NY
  • 06/2017 → 12/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2017 → 12/2017
    Northwestern Mutual Investment Services Llc
    E Syracuse, NY
  • 01/2018 → 04/2022
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
  • 04/2022 → 09/2024
    Pruco Securities, Llc
    Warners, NY
  • 04/2022 → 09/2024
    The Prudential Insurance Company Of America
    Warners, NY
  • 09/2024 → Present
    Lpl Enterprise, Llc
    Fort Mill, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-30
S63 Uniform Securities Agent State Law Examination 2017-10-16
  • S66 Uniform Combined State Law Examination
    2024-08-30
  • S63 Uniform Securities Agent State Law Examination
    2017-10-16
Other Names
  • Vincent J Mauro
  • Vincent Joseph Mauro
  • Vincent Mauro

View on SEC IAPD

More in Warners, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor