SD
Steven F. Dipaola
LPL ENTERPRISE
PARAMUS, NJ 07652
Some features on this profile are disabled
CRD#: 1667609
SD
Professional summary
Steven Frederick Dipaola is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Paramus, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 15 firms and has passed the Series 66, Series 63, 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. 06/25/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Basking Ridge, NJ - Start Date 05/20/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 06/25/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Basking Ridge, NJ - Start Date 05/20/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven Frederick Dipaola's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Frederick Dipaola'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
May 29, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 11 Sunflower Avenue Suite 2000, Paramus, NJ 07652RIA
BD
CRD#: 8733
PARAMUS, NJ
Current
May 27, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 11 Sunflower Avenue Suite 2000, Paramus, NJ 07652RIA
BD
CRD#: 8733
PARAMUS, NJ
Past
September 13, 2019 - June 9, 2025
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Parsippany, NJ
Past
July 11, 2017 - June 9, 2025
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
PARSIPPANY, NJ
Past
March 16, 2016 - February 3, 2017
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
Floram Park, NJ
Past
August 13, 2015 - December 16, 2015
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
NEW YORK, NY
Past
June 13, 2014 - February 19, 2015
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
January 24, 2011 - June 9, 2011
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
March 13, 2008 - December 31, 2008
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
March 13, 2008 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
BD
CRD#: 28305
NEW YORK, NY
Past
December 8, 1997 - March 7, 2008
AUSTIN ATLANTIC CAPITAL INC.
BD
CRD#: 43981
SUMMIT, NJ
Past
July 18, 1994 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
BD
CRD#: 27214
Past
July 18, 1994 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
BD
CRD#: 27215
IRVING, TX
Past
February 23, 1993 - July 20, 1994
PRINTON, KANE GROUP, INC.
BD
CRD#: 23667
Past
January 2, 1990 - February 2, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 2, 1990 - February 2, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
September 15, 1987 - May 12, 1988
DOMIK CORP.
BD
CRD#: 223
Past
July 25, 1987 - September 2, 1987
D.G. MEYER & CO., INC.
BD
CRD#: 19783
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
Delaware(7/17/2025)
RR
Florida(5/27/2025)
RR
New Jersey(5/27/2025)
IAR
New Jersey(5/29/2025)
RR
New York(5/27/2025)
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.
