LPL ENTERPRISE, LLC of FORT MILL, SC is an SEC-registered investment adviser (CRD 8733). Regulatory assets under management: $24.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Steven Thomas Malfitano | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | — |
| Matthew Edwin Morningstar | CHIEF LEGAL OFFICER | — |
| Kirby Lepak Horan-Adams | CHIEF EXECUTIVE OFFICER. PRESIDENT | — |
| Richard Steven Sheehan | SVP, CHIEF COMPLIANCE OFFICER | — |
| Steven Philip Morrison | SECRETARY | — |
| MORRISON MITCHELL STEVEN | SECRETARY | — |
| HORAN-ADAMS KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | — |
| MALFITANO STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | — |
| SHEEHAN RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | — |
| MORRISON STEVEN PHILIP | SECRETARY | — |
| Kiriakos Andreas Evangeliou | SVP, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |
| — | civil | — | — | — |