AS
Alan R. Stone
LPL ENTERPRISE
Miami, FL 33126
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CRD#: 1731172
AS
Professional summary
Alan Randy Stone, who also goes by Alan R Stone, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Alan has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan R Stone
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. 09/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Aventura, FL - Start Date 09/08/2025 - 160hrs/MTH 160hrs/MTH During Trading 2. 09/09/2025 - ALAN RANDY STONE - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Aventura, FL - Start Date 09/08/2025 - 160hrs/MTH 160hrs/MTH During Trading 3. 09/09/2025 - Attorney - Attorney/ Legal Services - Non Inv Related - Aventura, FL - Start Date 09/10/1980 - 0hrs/MTH 0hrs/MTH During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Alan Randy Stone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Randy Stone'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
September 16, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126RIA
BD
CRD#: 8733
Miami, FL
Current
September 15, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126RIA
BD
CRD#: 8733
Miami, FL
Past
May 1, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BOCA RATON, FL
Past
April 28, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BOCA RATON, FL
Past
December 11, 2020 - October 7, 2021
STONEX ADVISORS INC.
RIA
CRD#: 174182
Aventura, FL
Past
December 2, 2020 - October 7, 2021
STONEX SECURITIES INC.
BD
CRD#: 18456
Aventura, FL
Past
June 21, 2016 - January 11, 2019
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
FORT LAUDERDALE, FL
Past
June 20, 2016 - January 11, 2019
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FORT LAUDERDALE, FL
Past
April 1, 2015 - July 2, 2015
EDWARD JONES
BD
CRD#: 250
AVENTURA, FL
Past
July 23, 2008 - April 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AVENTURA, FL
Past
July 23, 2008 - April 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AVENTURA, FL
Past
March 8, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AVENTURA, FL
Past
March 8, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AVENTURA, FL
Past
June 20, 2003 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
AVENTURA, FL
Past
June 17, 2003 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
March 10, 2000 - July 8, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AVENTURA, FL
Past
March 10, 2000 - July 8, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 5, 1994 - March 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - August 4, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 8, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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(9/16/2025)
IAR
Florida(9/16/2025)
RR
Georgia(9/16/2025)
Exams
State Security Law Exam
State Security Law 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#: 8733Miami, FL 33126TRUST BUT VERIFY
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