AR
Ashok Rajan
LPL ENTERPRISE
BASKING RIDGE, NJ
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CRD#: 1619972
AR
Professional summary
Ashok Rajan is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Ashok is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ashok has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 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.
1) 10/08/2024 - Rajan Private Wealth - Provides wealth management and investment advisory services to clients - DBA for LPL Business (entity for LPL business) - Inv Related - At BASKING RIDGE, NJ - Start Date 01/01/2020 - 160hrs/mth - 160hrs/mth During Trading 2) 09/13/2024 - Ash Rajan - Invited to provide thought leadership on wealth management topics - Speaker/ Seminar/ Workshops - Non Inv Related - At BASKING RIDGE, NJ - Start Date 01/01/2020 - 1hrs/mth - 0hrs/mth During Trading 3) 09/13/2024 - Ash Rajan Wine Columnist - Writes lifestyle articles about wine, wine regions, wine etiquette and travel etc. - Non Inv Related - At BASKING RIDGE, NJ - Start Date 01/01/2020 - 1hrs/mth - 0hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Ashok Rajan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashok Rajan'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
RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
January 30, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Basking Ridge, NJ
Past
January 27, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Basking Ridge, NJ
Past
March 8, 2016 - February 6, 2020
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
BEDMINSTER, NJ
Past
February 17, 2016 - February 6, 2020
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
BEDMINSTER, NJ
Past
September 17, 2014 - February 16, 2016
AWM GLOBAL ADVISORS
RIA
CRD#: 159094
SAN DIEGO, CA
Past
June 9, 2006 - November 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JERSEY CITY, NJ
Past
June 9, 2006 - November 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 9, 2004 - October 10, 2005
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NEWARK, NJ
Past
July 7, 2003 - October 10, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 22, 2002 - March 24, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 16, 1993 - February 4, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 26, 1987 - September 28, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Alaska(11/14/2024)
RR
Arizona(11/14/2024)
RR
California(11/14/2024)
RR
Florida(11/18/2024)
RR
Indiana(4/2/2025)
RR
Iowa(11/14/2024)
RR
Louisiana(11/14/2024)
RR
Maine(12/9/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Michigan(11/14/2024)
RR
Minnesota(11/14/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(6/30/2025)
RR
Tennessee(7/10/2025)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
