DB
Donald L. Bagley
LPL ENTERPRISE
Phoenix, AZ 85016
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CRD#: 1304491
DB
Professional summary
Donald Lee Bagley, who also goes by Donald L Bagley, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Phoenix, Arizona.
Donald is registered as a RR (Registered Representative) and started their career in finance in 1987. Donald has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Donald L Bagley
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.
CRS (Client Relationship Summary) - BD
Click below to view Donald Lee Bagley'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: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016RIA
BD
CRD#: 8733
Phoenix, AZ
Past
March 12, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Phoenix, AZ
Past
February 6, 2019 - March 13, 2024
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
SCOTTSDALE, AZ
Past
January 14, 2019 - March 13, 2024
WEDBUSH SECURITIES INC.
BD
CRD#: 877
SCOTTSDALE, AZ
Past
December 2, 2005 - February 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHOENIX, AZ
Past
December 2, 2005 - February 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PHOENIX, AZ
Past
November 28, 2000 - December 8, 2005
PIPER SANDLER & CO.
RIA
CRD#: 665
SAN FRANCISCO, CA
Past
October 16, 2000 - December 8, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
SAN FRANCISCO, CA
Past
May 26, 1989 - October 18, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 22, 1987 - June 23, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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.
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
Arizona(11/14/2024)
RR
California(11/14/2024)
RR
Florida(11/7/2025)
RR
Hawaii(11/14/2024)
RR
Maryland(7/2/2025)
RR
Massachusetts(11/14/2024)
RR
Michigan(11/26/2024)
RR
North Carolina(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Texas(11/14/2024)
RR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law 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)
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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.
