DV
Dennis Vavassis
LPL ENTERPRISE
Melville, NY 11747
Some features on this profile are disabled
CRD#: 1600921
DV
Professional summary
Dennis Vavassis is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: 3419 Elizabeth Ave, New Bern NC 28562, United States DESCRIPTION: Collect rent from my property manager RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2019 ADDRESS: 2413 Educational Drive, New Bern NC 28562, United States DESCRIPTION: collect rents from my property manager RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2019 ADDRESS: 2415 Educational Drive, New Bern NC 28562, United States DESCRIPTION: collect rents from my property manager RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2019 ADDRESS: 4004 Yadkin Ct., New Bern NC 28562, United States DESCRIPTION: collect rent from property manager RENTAL PROPERTY - POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2020 ADDRESS: 214 FOREST PARK DRIVE, NEW BERN NC 28562, United States DESCRIPTION: Accept rents collected by my property manager RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/29/2021 ADDRESS: 3623 Elizabeth Ave, New Bern NC 28562, United States DESCRIPTION: I receive all the rents collected, minus the fee I must pay property manager RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2018 ADDRESS: 2041 W. Windgate Ct., Jacksonville NC 28546, United States DESCRIPTION: collect rents from my property manager
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Vavassis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Vavassis'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: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Past
November 22, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Forest Hills, NY
Past
August 26, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Forest Hills, NY
Past
April 29, 2016 - August 13, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
April 16, 2010 - May 6, 2015
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
November 14, 2002 - June 6, 2007
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 1, 2001 - October 24, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 11, 1991 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
December 23, 1986 - February 27, 1991
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(11/15/2024)
RR
Georgia(7/17/2025)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
IAR
North Carolina(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/27/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/6/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
