Full text of LPL ENTERPRISE, LLC's X-17A-5 filed 2024-02-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # LPL Enterprise, LLC (SEC I.D. No. 8-26037) Financial Statements and Supplemental Schedules as of and for the year ended December 31, 2023, and Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORT Form X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Estimated average burden hours per response . . . . 12.00 SEC FILE NUMBER 8-26037 FACING PAGE 5 17~12 and 18っ Fxchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | | | 01/01/23<br>MM/DD/YY | | AND ENDING | 12/31/23<br>MM/DD/YY | |-------------------------------------------------------------------------------------------------------------------------------------|---------|---------------------|--------------------------------|-----------------|--------------------------------------------|----------------------| | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | | LPL Enterprise, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ത Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. box no.) | | | | | | | | 1055 LPL Way | | | | | | | | (No. and Street) | | | | | | | | Fort Mill | SC | 29715 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Steven Malfitano | | | 216-820-4959 | | steven.malfitano@lplfinancial.com | | | (Name) | | | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | | | | | | | Evans Mehlhorn & Miller PC | | | | | | | | (Name -- if individual, state last, first, middle name) | | | | | | | | | | | | PA | 15017 | | | 1195 Washington Pike, Suite 350<br>(Address) | | | Bridgeville<br>City | State | Zip Code | | | | | | | | | | | 10/20/2009 | | | | 38749 | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information…Read the full text as markdown