DW
Daniel I. Webster
LPL ENTERPRISE
Forest Hill, MD 21050
Some features on this profile are disabled
CRD#: 1767390
DW
Professional summary
Daniel Ignatius Webster, CFA, who also goes by Daniel I Webster, Daniel Ignatius Thomas Webster, Thomas Webster, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Forest Hill, Maryland.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel I Webster | Daniel Ignatius Thomas Webster | Thomas Webster
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) 03/07/2025- A.G.K. Insurance Agency, Inc.- Non-Variable Insurance/Insurance Agency- CareFirst Blue Cross Blue Shield, Kelly & Associates Insurance Group, AllState Medicare Supplement, Ameritas Dental, Corporate Coverage- inv. related- at Forest Hill, MD- start date 08/17/1988- 10hrs/mnth-5hrs during trading 2) 03/10/2025- St. Ignatius Church Hickory- Outside/W-2 Employment- not inv. related- at Forest Hill, MD- start date 09/30/2023- 0hrs/mnth-0hrs during trading 3) 10/30/2025-AGK Financial Services-Principal-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 11/01/2024-150hrs/mth-7hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Ignatius Webster's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Ignatius Webster'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®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 132 A Industry Lane, Forest Hill, MD 21050RIA
BD
CRD#: 8733
Forest Hill, MD
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 132 A Industry Lane, Forest Hill, MD 21050RIA
BD
CRD#: 8733
Forest Hill, MD
Past
January 6, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Forest Hill, MD
Past
January 6, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Forest Hill, MD
Past
June 9, 2003 - December 31, 2020
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
BEL AIR, MD
Past
January 3, 1996 - December 31, 2020
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
BEL AIR, MD
Past
August 15, 1994 - December 31, 1995
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
July 19, 1988 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
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
Florida(11/15/2024)
RR
Maryland(11/14/2024)
IAR
Maryland(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Virginia(11/14/2024)
RR
West Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 7/18/1997
Corporate Securities Limited Representative ExaminationGeneral 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#: 8733Forest Hill, MD 21050TRUST BUT VERIFY
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