Alan R. Stone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Randy Stone, who also goes by Alan R Stone, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1987. Alan had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2025 - July 24, 2026
LPL ENTERPRISE, LLC
September 15, 2025 - July 24, 2026
LPL ENTERPRISE, LLC
May 1, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
April 28, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
December 11, 2020 - October 7, 2021
STONEX ADVISORS INC.
December 2, 2020 - October 7, 2021
STONEX SECURITIES INC.
June 21, 2016 - January 11, 2019
OPPENHEIMER & CO. INC.
June 20, 2016 - January 11, 2019
OPPENHEIMER & CO. INC.
April 1, 2015 - July 2, 2015
EDWARD JONES
July 23, 2008 - April 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 23, 2008 - April 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2003 - March 8, 2006
ADVEST, INC.
June 17, 2003 - March 8, 2006
ADVEST, INC.
March 10, 2000 - July 8, 2003
UBS FINANCIAL SERVICES INC.
March 10, 2000 - July 8, 2003
UBS FINANCIAL SERVICES INC.
August 5, 1994 - March 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 4, 1994
CITIGROUP GLOBAL MARKETS INC.
October 8, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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.
