Joseph R. Brancaleone

LPL ENTERPRISE

Melville, NY 11747

Some features on this profile are disabled

CRD#: 1495596

Professional summary

Joseph R Brancaleone, who also goes by Joseph Russell Brancaleone, Joseph Brancaleone, Joseph R Brancaleone, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24, Series 8, Series 27 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Russell Brancaleone | Joseph Brancaleone | Joseph R Brancaleone

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. 12/06/2024- CRUMP LIFE INS- non variable ins- yes inv related - 11/18/2024- 4 hr/mo non trading- 4 hr/mo trading 2. 08/22/2024- FINRA- FINRA arbitrator- yes inv related- 10/01/1991- 1 hr/mo non trading- 1 hr/mo trading FINRA - DISPUTE RESOLUTION POSITION: Abitrator NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/22/2022 ADDRESS: 200 Liberty St., New York NY 10281, United States DESCRIPTION: Industry Arbitrator

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph R Brancaleone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph R Brancaleone'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: 445 Broadhollow Road Suite 405, Melville, NY 11747

RIA

CRD#: 8733

Melville, NY

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747

RIA

CRD#: 8733

Melville, NY

Past

June 10, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Melville, NY

Past

June 2, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Melville, NY

Past

May 15, 2020 - April 9, 2021

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

RYE BROOK, NY

Past

May 15, 2020 - April 9, 2021

PARK AVENUE SECURITIES LLC

CRD#: 46173

RYE BROOK, NY

Past

November 22, 2017 - May 15, 2020

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

ISLANDIA, NY

Past

November 22, 2017 - May 15, 2020

THE INVESTMENT CENTER, INC.

CRD#: 17839

ISLANDIA, NY

Past

March 25, 2017 - November 24, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HAUPPAUGE, NY

Past

March 25, 2017 - November 24, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

HAUPPAUGE, NY

Past

July 16, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

HAUPPAUGE, NY

Past

July 14, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, NY

Past

February 28, 2013 - July 9, 2014

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

February 14, 2013 - July 9, 2014

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

GREENLAWN, NY

Past

June 1, 2009 - February 28, 2013

MORGAN STANLEY

RIA

CRD#: 149777

GREAT NECK, NY

Past

June 1, 2009 - February 28, 2013

MORGAN STANLEY

CRD#: 149777

GREAT NECK, NY

Past

April 12, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GREAT NECK, NY

Past

April 12, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

GREAT NECK, NY

Past

February 24, 2005 - April 13, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BAYSIDE, NY

Past

January 29, 2005 - April 13, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BAYSIDE, NY

Past

June 21, 2000 - November 23, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 9, 1999 - April 25, 2000

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

June 19, 1997 - July 30, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 16, 1996 - May 16, 1997

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

August 6, 1994 - October 4, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 14, 1989 - August 15, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 20, 1986 - July 18, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(11/14/2024)

Connecticut
(11/14/2024)

Florida
(11/15/2024)

New York
(11/14/2024)

IAR

New York
(11/14/2024)

Pennsylvania
(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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1986

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: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/30/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 27

Date: 6/5/1991

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/17/1987

Registered Options Principal 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

Joseph R. Brancaleone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph R Brancaleone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph R Brancaleone's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

TRADE.COM ONLINE SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

FIRST ASSET MANAGEMENT, INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2005

Series 63

Date: 9/9/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 1/31/1997

Series 8

Date: 4/30/1993

Series 27

Date: 6/5/1991

Series 4

Date: 12/17/1987

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