Salvatore Spagnuolo
Professional summary
Salvatore Spagnuolo, who also goes by Sal Spagnuolo, Salvatore A Spagnuolo, Salvatore Spagnuolo, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Salvatore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Salvatore has worked at 15 firms and has passed the Series 65, Series 66, Series 63, Series 72, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Salvatore Spagnuolo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Salvatore Spagnuolo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920October 19, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
October 18, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
August 7, 2020 - October 21, 2021
PRINCIPAL SECURITIES, INC.
July 13, 2020 - October 21, 2021
PRINCIPAL SECURITIES, INC.
July 13, 2017 - July 10, 2020
ALLSTATE FINANCIAL SERVICES, LLC
March 21, 2017 - July 26, 2017
LIFEMARK SECURITIES CORP.
April 29, 2015 - February 7, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 3, 2014 - January 12, 2015
MML INVESTORS SERVICES, LLC
April 28, 2004 - May 7, 2014
ALLSTATE FINANCIAL SERVICES, LLC
June 20, 2003 - April 6, 2004
NEW ENGLAND SECURITIES
October 18, 2002 - June 30, 2003
VERAVEST INVESTMENTS, INC.
February 15, 2002 - June 11, 2002
UBS FINANCIAL SERVICES INC.
October 30, 1996 - May 31, 2000
ADVANTAGE CAPITAL CORPORATION
October 9, 1995 - July 15, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
February 1, 1995 - September 1, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 1, 1995 - September 1, 1995
SIGNATOR INVESTORS, INC.
February 1, 1994 - July 28, 1994
EQUITY SERVICES, INC.
January 30, 1992 - February 22, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
February 3, 1988 - December 16, 1988
PRUCO SECURITIES, LLC.
November 18, 1986 - April 2, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/30/2025)
(11/18/2024)
(7/18/2025)
(11/14/2024)
(11/14/2024)
(11/14/2024)
(7/9/2025)
(11/14/2024)
(11/14/2024)
(11/14/2024)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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.
