Angelo Zenez

LPL ENTERPRISE

ROSEMONT, IL 60018

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CRD#: 1172001

Professional summary

Angelo Zenez is a registered financial professional currently at LPL ENTERPRISE, LLC located in Rosemont, Illinois.

Angelo is registered as a RR (Registered Representative) and started their career in finance in 1987. Angelo has worked at 18 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angelo Zenez'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®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 10275 W Higgins Road Suite 200, Rosemont, IL 60018

RIA

CRD#: 8733

ROSEMONT, IL

Past

March 19, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

ROSEMONT, IL

Past

September 9, 2021 - May 31, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

DEERFIELD, IL

Past

April 10, 2020 - December 31, 2020

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

April 3, 2017 - August 28, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Wilmette, IL

Past

March 26, 2013 - December 31, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OAKBROOK, IL

Past

May 28, 2008 - March 30, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

DEERFIELD, IL

Past

December 2, 2004 - December 31, 2007

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

WILMETTE, IL

Past

October 21, 2002 - September 29, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 21, 2002 - September 29, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 27, 2000 - October 8, 2002

ARLINGTON SECURITIES, INC.

CRD#: 19596

ST. LOUIS, MO

Past

February 8, 2000 - March 28, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 6, 1993 - February 10, 2000

ARLINGTON SECURITIES, INC.

CRD#: 19596

ST. LOUIS, MO

Past

April 2, 1993 - July 29, 1993

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

January 29, 1993 - April 14, 1993

ARLINGTON SECURITIES, INC.

CRD#: 19596

ST. LOUIS, MO

Past

October 20, 1992 - November 6, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

March 2, 1992 - May 22, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 8, 1988 - March 10, 1992

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

December 22, 1987 - December 31, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

Past

December 22, 1987 - June 21, 1988

UNITED CAPITAL CORPORATION

CRD#: 8268

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.

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

Illinois
(11/14/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 1/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative 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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Firm Stability Insights

Angelo Zenez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angelo Zenez's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

PRINCIPAL SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

NYLIFE SECURITIES LLC

PLANMEMBER SECURITIES CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

ARLINGTON SECURITIES, INC.

MONY SECURITIES CORPORATION

ARLINGTON SECURITIES, INC.

DICKINSON & CO.

ARLINGTON SECURITIES, INC.

CHATFIELD DEAN & CO., INC.

LEHMAN BROTHERS INC.

LASALLE ST SECURITIES, L.L.C.

BROOKS WEINGER ROBBINS & LEEDS INC.

UNITED CAPITAL CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/1988

SIE

Date: 8/28/2017

Series 7

Date: 12/19/1987

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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