PK
Philip Kasden
LPL ENTERPRISE
WAKEFIELD, MA 01880
Some features on this profile are disabled
CRD#: 1240268
PK
Professional summary
Philip Kasden, who also goes by Phil Kasden, Philip William Kasden, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Wakefield, Massachusetts.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Philip has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phil Kasden | Philip William Kasden
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.
[Kasden Metal Brokerage LLC (Dormant); 2A Conway Street, Shelburne Falls, MA 01370; Start 06/2016; co compensation; no hours; non-investment related]
CRS (Client Relationship Summary) - RIA
Click below to view Philip Kasden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Kasden'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: 500 Edgewater Drive Suite 595, Wakefield, MA 01880RIA
BD
CRD#: 8733
WAKEFIELD, MA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 500 Edgewater Drive Suite 595, Wakefield, MA 01880RIA
BD
CRD#: 8733
WAKEFIELD, MA
Past
February 15, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WAKEFIELD, MA
Past
September 6, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAKEFIELD, MA
Past
December 1, 2021 - October 3, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WALTHAM, MA
Past
October 1, 2021 - October 3, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WALTHAM, MA
Past
March 19, 2021 - May 27, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAKEFIELD, MA
Past
September 11, 2020 - December 14, 2020
MCADAM LLC
RIA
CRD#: 170914
Boston, MA
Past
September 16, 1991 - May 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Past
September 16, 1991 - May 6, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
May 1, 1986 - April 6, 1989
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
March 22, 1984 - May 19, 1986
ADVEST, INC.
BD
CRD#: 10
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
Connecticut(11/14/2024)
RR
Massachusetts(11/14/2024)
IAR
Massachusetts(11/14/2024)
RR
Michigan(8/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 8733Wakefield, MA 01880TRUST BUT VERIFY
Monitor Philip Kasden
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
