Robert Eustice

LPL ENTERPRISE

MARION, IA

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CRD#: 1177912

Professional summary

Robert Eustice, who also goes by Bob Eustice, Robert Edward Eustice, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Marion, Iowa.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Eustice | Robert Edward Eustice

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) 10/03/2024- Non-Variable Insurance Commission Trails- I was the writing agent on individual LTCI policies on Andrea (spouse) and I, through National Guardian Life. - INV Related- MARION, IA- Start date 11/11/2017- 0 HRS MTH- 0 During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Eustice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Eustice'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

RIA

CRD#: 8733

MARION, IA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

MARION, IA

Past

February 28, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Marion, IA

Past

February 28, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Marion, IA

Past

April 3, 2018 - February 27, 2024

EDWARD JONES

RIA

CRD#: 250

MARION, IA

Past

April 3, 2018 - February 27, 2024

EDWARD JONES

CRD#: 250

MARION, IA

Past

January 27, 2017 - December 31, 2017

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 20, 2012 - January 4, 2017

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

March 20, 2012 - December 10, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

OVERLAND PARK, KS

Past

August 12, 2011 - February 16, 2012

OSAIC FS, INC.

CRD#: 3870

CLIVE, IA

Past

August 12, 2010 - June 16, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHICAGO, IL

Past

February 8, 2005 - July 19, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DES MOINES, IA

Past

June 11, 1998 - January 4, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 6, 1997 - June 5, 1998

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

December 14, 1994 - December 31, 1995

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

August 11, 1993 - November 17, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 11, 1993 - November 17, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 21, 1988 - January 4, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 16, 1987 - December 7, 1988

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 25, 1986 - August 12, 1987

G. R. PHELPS & CO., INC.

CRD#: 173

Past

September 15, 1983 - July 10, 1986

NYLIFE SECURITIES LLC

CRD#: 5167

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

Arizona
(11/14/2024)

Colorado
(11/14/2024)

Florida
(11/15/2024)

Illinois
(11/14/2024)

Iowa
(11/14/2024)

IAR

Iowa
(11/14/2024)

Minnesota
(10/25/2025)

Nebraska
(10/25/2025)

New Jersey
(10/25/2025)

New York
(10/25/2025)

North Carolina
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Washington
(11/14/2024)

Wisconsin
(10/25/2025)

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: 3/2/1995

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: 11/17/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/9/1993

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 8/27/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/1998

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert Eustice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Eustice's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Eustice's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EDWARD JONES

EDWARD JONES

THE LEADERS GROUP, INC.

SAYBRUS EQUITY SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

KESTRA INVESTMENT SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

SIGNATOR INVESTORS, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

G. R. PHELPS & CO., INC.

G. R. PHELPS & CO., INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1997

Series 6

Date: 8/9/1993

Series 22

Date: 8/27/1984

Series 24

Date: 1/19/1998

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

Contact information

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