Omar H. Zayed

LPL ENTERPRISE

DOWNERS GROVE, IL 60515

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CRD#: 1342156

Professional summary

Omar Hussein Zayed, who also goes by Omar Hussein Zayed, Omar Hussien Zayed, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Downers Grove, Illinois.

Omar is registered as a RR (Registered Representative) and started their career in finance in 1985. Omar has worked at 19 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Omar Hussein Zayed | Omar Hussien Zayed

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 Omar Hussein Zayed'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®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515

RIA

CRD#: 8733

DOWNERS GROVE, IL

Past

June 25, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

DOWNERS GROVE, IL

Past

March 11, 2019 - July 15, 2020

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Oakbrook, IL

Past

November 13, 2003 - October 8, 2004

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

August 17, 2000 - December 31, 2001

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

December 14, 1995 - October 13, 1998

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

October 15, 1993 - December 16, 1993

WORLD EQUITY GROUP, INC.

CRD#: 29087

SCHAUMBURG, IL

Past

January 29, 1993 - April 5, 1993

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

December 9, 1992 - February 17, 1993

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

October 23, 1992 - December 18, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 15, 1991 - October 28, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 28, 1990 - November 26, 1991

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

April 20, 1990 - July 30, 1990

WILLIAM BARTON FINANCIAL, INC.

CRD#: 13893

Past

May 31, 1988 - June 8, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 19, 1987 - November 12, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 5, 1987 - October 15, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 26, 1987 - August 18, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

December 23, 1985 - July 14, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

April 29, 1985 - September 9, 1985

SWINK & COMPANY, INC.

CRD#: 7111

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

Illinois
(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

Series 63

Date: 4/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 3/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/9/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/16/1985

Municipal 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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Advisor Monitoring

Firm Stability Insights

Omar H. Zayed

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Omar Hussein Zayed's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

W&S BROKERAGE SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

WATERSTONE FINANCIAL GROUP, INC.

LIFEMARK SECURITIES CORP.

WORLD EQUITY GROUP, INC.

AMERIPRISE ADVISOR SERVICES, INC.

HAMILTON INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GRUNTAL & CO., L.L.C.

RODMAN & RENSHAW INC.

WILLIAM BARTON FINANCIAL, INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

INTEGRATED RESOURCES EQUITY CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

SWINK & COMPANY, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/1985

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 3/11/2019

SIE

Date: 1/9/2019

Series 7

Date: 12/21/1985

Series 52

Date: 4/16/1985

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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