DC
Daniel G. Cote
LPL ENTERPRISE
CLERMONT, FL 34711
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CRD#: 1722030
DC
Professional summary
Daniel Guy Cote, who also goes by Dan Cote, Daniel Guy Cote, Daniel Guy Cote', is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Clermont, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Cote | Daniel Guy Cote | Daniel Guy Cote'
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) 04/10/2025-Central Florida Investment Services-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 04/15/2025-160hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Guy Cote's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Guy Cote'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: 481 E Hwy 50 201 A-b, Clermont, FL 34711RIA
BD
CRD#: 8733
CLERMONT, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 481 E Hwy 50 201 A-b, Clermont, FL 34711RIA
BD
CRD#: 8733
CLERMONT, FL
Past
November 20, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Pikesville, MD
Past
November 20, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Pikesville, MD
Past
August 13, 2012 - November 17, 2020
CETERA ADVISORS LLC
BD
CRD#: 10299
ODENTON, MD
Past
August 10, 2012 - November 17, 2020
CETERA ADVISORS LLC
RIA
CRD#: 10299
ODENTON, MD
Past
December 11, 2008 - August 17, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BALTIMORE, MD
Past
December 11, 2008 - August 17, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BALTIMORE, MD
Past
April 2, 2007 - December 15, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ANNAPOLIS, MD
Past
April 2, 2007 - December 15, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ANNAPOLIS, MD
Past
October 8, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ANNAPOLIS, MD
Past
October 8, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ANNAPOLIS, MD
Past
August 5, 2002 - October 11, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WASHINGTON, DC
Past
June 25, 2002 - October 11, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 20, 1997 - March 18, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 20, 1997 - March 18, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/18/2024)
RR
Georgia(1/13/2025)
RR
Maryland(11/14/2024)
IAR
Maryland(11/14/2024)
RR
Michigan(11/14/2024)
RR
New Hampshire(1/23/2025)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Virginia(11/14/2024)
IAR
Virginia(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Clermont, FL 34711TRUST BUT VERIFY
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