Stephen E. Hasso

LPL ENTERPRISE

LATHAM, NY 12110

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CRD#: 1052095

Professional summary

Stephen E Hasso JR, CFP®, who also goes by Stephen Edmund Hasso Jr, Stephen Edmund Hasso, Stephen Edward Hasso, Stephen Hasso, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Latham, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stephen has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Edmund Hasso Jr | Stephen Edmund Hasso | Stephen Edward Hasso | Stephen Hasso

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.

1) 12/04/2024 - Century Hill Financial Group - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date 03/01/1988 - 160hrs/mth - 160hrs During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen E Hasso JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen E Hasso JR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 11 Century Hill Drive Suite 106, Latham, NY 12110

RIA

CRD#: 8733

LATHAM, NY

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 11 Century Hill Drive Suite 106, Latham, NY 12110

RIA

CRD#: 8733

LATHAM, NY

Past

May 23, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Latham, NY

Past

November 20, 2018 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Latham, NY

Past

November 20, 2014 - November 21, 2018

EQUITY SERVICES, INC.

RIA

CRD#: 265

LATHAM, NY

Past

November 17, 2014 - November 21, 2018

EQUITY SERVICES, INC.

CRD#: 265

LATHAM, NY

Past

February 8, 2007 - November 10, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LATHAM, NY

Past

May 23, 2001 - November 10, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LATHAM, NY

Past

September 11, 1998 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

LATHAM, NY

Past

September 3, 1998 - May 24, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

January 2, 1998 - September 3, 1998

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

March 6, 1996 - January 2, 1998

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

June 14, 1988 - March 5, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 13, 1985 - June 13, 1988

NEW ENGLAND SECURITIES

CRD#: 615

Past

September 24, 1982 - August 5, 1985

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(11/15/2024)

Massachusetts
(12/20/2024)

New York
(11/14/2024)

IAR

New York
(11/14/2024)

South Carolina
(7/19/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen E. Hasso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen E Hasso JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen E Hasso JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

NATHAN & LEWIS SECURITIES, INC.

CADARET, GRANT & CO., INC.

PINEBRIDGE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/4/1996

Series 6

Date: 9/23/1982

Series 24

Date: 3/28/2005

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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