ET
Eric B. Thompson
LPL ENTERPRISE
NAPLES, FL
Some features on this profile are disabled
CRD#: 1273352
ET
Professional summary
Eric Bradley Thompson is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Naples, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Eric has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 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) 08/30/2024 - Uber - Driver - Rideshare - Non Inv Related - At Columbus, OH - Start Date 02/03/2020 - 16hrs/mth - 0hrs/mth During Trading 2) 08/30/2024 - Rookery Bay NERR - Outboard motor marine mechanic - Outside/W-2 Employment - Non Inv Related - At Columbus, OH - 01/06/2023 - 34hrs/mth - 28hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Eric Bradley Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Bradley Thompson'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 #2: One Easton Oval Suite 550, Columbus, OH 43219RIA
BD
CRD#: 8733
NAPLES, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: One Easton Oval Suite 550, Columbus, OH 43219RIA
BD
CRD#: 8733
NAPLES, FL
Past
March 21, 2006 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
February 6, 2006 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
June 30, 2003 - January 31, 2006
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLUMBSU, OH
Past
June 17, 2003 - January 31, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 24, 2001 - June 13, 2003
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
WESTERVILLE, OH
Past
August 27, 2001 - June 13, 2003
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
January 24, 1996 - August 27, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 2, 1996 - January 24, 1996
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Past
March 23, 1990 - December 31, 1995
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
October 19, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
June 12, 1984 - September 7, 1988
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
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
Alabama(7/28/2025)
RR
Arizona(11/14/2024)
RR
Florida(1/28/2025)
IAR
Florida(1/28/2025)
RR
Kentucky(11/14/2024)
RR
North Carolina(2/26/2025)
RR
Ohio(11/14/2024)
IAR
Ohio(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
