PU
Pantaleo M. Uva
LPL ENTERPRISE
ATLANTIC HIGHLANDS, NJ
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CRD#: 1034166
PU
Professional summary
Pantaleo Mario Uva, who also goes by Leo M Uva, Leo Uva, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Atlantic Highlands, New Jersey.
Pantaleo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Pantaleo has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leo M Uva | Leo Uva
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NJPAIP & NJCAIP~6000 MIDLANTIC DRIVE, SUITE 200 NORTH, MT. LAUREL, NJ 08054~NJ COMMERCIAL & PERSONAL AUTO INS~N~PRODUCER~01/1986~1 HRS/MO~1 TRADING HRS/MO|NJIUA~744 BROAD ST, SUITE 1100, NEWARK, NJ 07102~NJ FAIR PLAN HOME~N~PRODUCER~07102~1 HRS/MO~1 TRADING HRS/MO||A I G LIFE INS CO|AETNA|AMERICAN MAYFLOWER|ASSURANCEAMERICA INS CO|ASSURANT - EMPLOYEE BENEFITS|BANNER LIFE|CIGNA HEALTH CARE|GENWORTH FIN'L INS CO|GE CAPITAL ASSURANCE|GUARDIAN|HEALTH NET|HORIZON HEALTH PLAN INC|INC.|JOHN HANCOCK|LINCOLN BENEFIT LIFE|MADISON CONSULTING GROUP|MANULIFE FIN'L|MASS MUTUAL|METROPOLITAN LIFE INS CO|MIDLAND LIFE|MUTUAL LIFE|NEW HAMPSHIRE INS CO|NORTH AMERICAN CO FOR LIFE & HEALTH INS|OMAHA INS CO.|OMAHA LIFE INS. CO.|OSCAR ASSOCS|OXFORD LIFE INS CO|PAUL REVERE LIFE INS CO|PENSION ADVISORY SERVICES|PHS HEALTH CARE SOLUTIONS|SAVINGS BANK LIFE INS|SAVOY ASSOCS|THE MAC NAMEE GROUP|THE PRINCIPAL MUTUAL LIFE|TRAVELERS|UNION SECURITY INS CO|UNITED HEALTHCARE|UNITED OF OMAHA LIFE INS. CO.|UNITED WORLD LIFE INS. CO.|UNUM PROVIDENT|WASHINGTON NAT'L INS CO|WELLCHOICE INS OF NEW JERSEY INC|WILLIAM PENN|ZENITH MARKETING GROUP MUTUAL OF OMAHA INSURANCE COMPANY, 3300 MUTUAL OF OMAHA PLAZA, OMAHA, NEBRASKA 68175. PRODUCT: MEDICARE SUPPLEMENT INSURANCE TO SOCIAL SECURITY RECIPIENTS. POSITION: Broker 1099 Tax Form Independent Contractor NATURE: Product:-Medicare Supplement INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/30/2022 ADDRESS: 3300 Mutual of Omaha Plaza, Omaha NE 68175, United States DESCRIPTION: Independent Broker Sales UVA FINANCIAL CONCEPTS POSITION: Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 07/21/2016 ADDRESS: 68 Upper Prospect Rd., Atlantic Highlands NJ 07716, United States DESCRIPTION: Sales and Service of Insurance and Investments DBA- UVA FINANCIAL CONCEPTS POSITION: DBA- UVA FINANCIAL CONCEPTSLeo M. Uva, MST President NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/17/1994 ADDRESS: 68 Upper Prospect Rd., Atlantic Highlands NJ 07716, United States DESCRIPTION: Proprietor of DBA-- UVA FINANCIAL CONCEPTSTitle, PresidentLeo M. Uva, MSTDoing business in the financial services area and selling insurance products only.
CRS (Client Relationship Summary) - RIA
Click below to view Pantaleo Mario Uva's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Pantaleo Mario Uva's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
ATLANTIC HIGHLANDS, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
ATLANTIC HIGHLANDS, NJ
Past
June 21, 2002 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Atlantic Highlands, NJ
Past
October 18, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 18, 1982 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Atlantic Highlands, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/8/2025)
RR
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Maryland(5/8/2025)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Ohio(4/3/2025)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(4/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
