KV
Karl E. Vincent
LPL ENTERPRISE
NEW IBERIA, LA 70563
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CRD#: 1065606
KV
Professional summary
Karl Edwin Vincent is a registered financial advisor currently at LPL ENTERPRISE, LLC located in New Iberia, Louisiana.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Karl has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 12/02/2024 - KARL VINCENT RENTALS - Real Estate Rental - FIVE TENNANTS. SEPARATE UNITS ALL AT SAME ADDRESS LISTED ABOVE. THIS HAS BEEN REPORTED ON MY U4 SINCE I ACQUIRED THESE OFFICES. MY OWN OFFICE HAS BEEN LOCATED HERE SINCE I ACQUIRED PROPERTY - INV Related - At New Iberia, LA - Start Date 06/01/1983 - 0hrs/mth - 0hrs During Trading 2) 01/29/2025 - KARL VINCENT AGNCY-SOLE PROPRIETOR- - Property and Casualty - Prudential P & C representative since 1979. Evolved from PRU_PAC to Liberty Mutual/Comparion. Currently representing only Liberty Mutual/Comparion (for past 20 years under Prudential agreement). I have one office manager who has been Property and Casualty licensed for approximately 40 years and I servicing my existing book of business. I carried E & O every year for the past 45 years with AON. I was recently informed that AON was no longer the broker for Prudential Property and Casualty. - INV Related - At New Iberia, LA - Start Date 12/03/1979 - 4hrs/mth - 2hrs During Trading 3) 01/24/2025 - None - Non-Variable Insurance/Insurance Agency - Agent/rep Karl Vincent Agncy-sole proprietorship. I am paid through the Prudential payroll system. Since 12/03/1979 I have represented Prudential Property and Casualty and transitioned to Liberty Mutual/Comparion I have sold and continue to sell non variable life and health products. My Property and Casualty business and non variable business is the main source of prospects and client for my LPL book. Life Health and Property and Casualty have been my core prospecting tools for my LPL/ va - INV Related - At New Iberia, LA - Start Date 12/03/1979 - 20hrs/mth - 10hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Karl Edwin Vincent's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Edwin Vincent'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
Office #1: 715 N. Lewis Suite C, New Iberia, LA 70563RIA
BD
CRD#: 8733
NEW IBERIA, LA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 715 N. Lewis Suite C, New Iberia, LA 70563RIA
BD
CRD#: 8733
NEW IBERIA, LA
Past
November 17, 2016 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
NEW IBERIA, LA
Past
January 4, 1983 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEW IBERIA, LA
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
Illinois(2/14/2025)
RR
Louisiana(11/14/2024)
IAR
Louisiana(11/14/2024)
RR
North Carolina(2/14/2025)
RR
Texas(2/13/2025)
Exams
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733New Iberia, LA 70563TRUST BUT VERIFY
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