GP
Gaurang B. Parikh
LPL ENTERPRISE
WOODBURY, NY 11797
Some features on this profile are disabled
CRD#: 1191383
GP
Professional summary
Gaurang Bhailal Parikh is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Woodbury, New York.
Gaurang is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gaurang 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.
Diplomat Hospitality Group, LLC~1000 Sunrise Hgwy, Rockville Cntr, NY 11570~R|Gladiate Capital LLC~7 Kettlepond Road, Jericho, NY 11753~Real Estate Development & Invest~Y~Managing Member~01/2015~0 hrs/mo~0 trading hrs/mo|Gibraltar Mgmt Co. Inc~1000 Sunrise Hgwy, Rockville Cntr, NY 11570~Mgmt Co Managing Motels~N~27.5% Ownership~11/2005~0 hrs/mo~0 trading hrs/mo|Aetna Health Inc.|Aetna Health Ins. Co of NY|Aetna Ins Co of Connecticut|Aetna Life Ins. Co|Allianz Life Ins. Co. of NY|American States Ins Co|Baltimore Life Ins Co The|Berkshire Life Ins Co Of Amer|Cigna Healthcare of New Jersey|Connecticut General Life Ins Co|Corporate Health Ins Co|First Unum Life Ins Co|Gerber Life Ins Co|Guardian Life Ins. Co of America|Hart Life Ins Co|Hartford Life & Accident Ins Co|Hartford Life & Annuity Ins Co|Metropolitan Life Ins Co|New York Life Ins &Annuity Corp|New York Life Ins Co|Principal Life Ins Co|Provident Life & Casualty Ins Co|Safeco Ins Co Of Am|Safeco Ins Co Of Indiana|Sun Life Assur Co of Canada G P INSURANCE AGENCY LLC POSITION: Manager NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/04/2004 ADDRESS: 30 Jericho Executive Plaza, Suite # 500E, Jericho NY 11753, United States DESCRIPTION: Managing Member/Owner
CRS (Client Relationship Summary) - RIA
Click below to view Gaurang Bhailal Parikh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gaurang Bhailal Parikh'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: 135 Crossways Park Dr Suite 300, Woodbury, NY 11797RIA
BD
CRD#: 8733
WOODBURY, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 135 Crossways Park Dr Suite 300, Woodbury, NY 11797RIA
BD
CRD#: 8733
WOODBURY, NY
Past
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Jericho, NY
Past
January 21, 1987 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Jericho, NY
Past
September 12, 1983 - October 3, 1986
PRUCO SECURITIES, LLC.
BD
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".
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(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Delaware(1/2/2025)
RR
Florida(11/15/2024)
RR
Georgia(4/2/2025)
RR
Kentucky(1/16/2025)
RR
Louisiana(12/20/2024)
RR
Maine(5/8/2025)
RR
Massachusetts(11/14/2024)
RR
Missouri(7/17/2025)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(4/2/2025)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(1/21/2025)
RR
Tennessee(1/21/2025)
RR
Texas(10/24/2025)
RR
Virginia(11/14/2024)
RR
West Virginia(1/2/2025)
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.
