Joseph E. Carbone

LPL ENTERPRISE

ATLANTA, GA 30326

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CRD#: 1278293

Professional summary

Joseph Enrico Carbone JR, CFP®, who also goes by Joe Carbone Jr, Joseph E Carbone Jr, Joseph Enrico Carbone, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Atlanta, Georgia.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Carbone Jr | Joseph E Carbone Jr | Joseph Enrico Carbone

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 Joseph Enrico Carbone JR'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®

CFP^®

Certified Financial Planner

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326

RIA

CRD#: 8733

ATLANTA, GA

Past

July 9, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Johns Creek, GA

Past

December 14, 2004 - July 17, 2019

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Suwanee, GA

Past

January 9, 2002 - January 14, 2005

DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183

ATLANTA, GA

Past

September 13, 2001 - October 26, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 13, 2001 - October 26, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 20, 2000 - September 28, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 22, 1996 - November 17, 2000

DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183

ATLANTA, GA

Past

January 24, 1995 - July 26, 1996

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

July 1, 1993 - January 23, 1995

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

June 7, 1993 - July 16, 1993

NATIONSSECURITIES

CRD#: 32542

Past

December 22, 1992 - June 7, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 1, 1992 - December 24, 1992

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 25, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

May 18, 1990 - October 3, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

August 4, 1989 - May 18, 1990

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

May 2, 1988 - August 10, 1989

A.J. MICHAELS & CO., LTD.

CRD#: 19883

HAUPPAUGE, NY

Past

April 19, 1988 - May 18, 1988

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

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

Alabama
(11/14/2024)

Florida
(11/19/2024)

Georgia
(11/14/2024)

Indiana
(11/14/2024)

Louisiana
(7/9/2025)

Maryland
(11/14/2024)

New York
(11/14/2024)

Tennessee
(5/8/2025)

Texas
(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

IAR

Series 65

Date: 6/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1988

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: 4/16/1988

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

Joseph E. Carbone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Enrico Carbone JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

ALLSTATE FINANCIAL SERVICES, LLC

DUNWOODY BROKERAGE SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

QUICK & REILLY, INC.

DUNWOODY BROKERAGE SERVICES, INC.

WACHOVIA BROKERAGE SERVICE

FIRST UNION BROKERAGE SERVICES, INC.

NATIONSSECURITIES

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

FINANCIAL HORIZONS SECURITIES CORPORATION

PAMCO SECURITIES AND INSURANCE SERVICES

A.J. MICHAELS & CO., LTD.

ALLIED CAPITAL GROUP, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2001

Series 63

Date: 5/31/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

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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