Joseph D. Perna

LPL ENTERPRISE

HOLMDEL, NJ 07733

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CRD#: 1891717

Professional summary

Joseph Dominic Perna, who also goes by Joseph Dominic Perna Jr, Joseph Perna, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Holmdel, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 17 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Dominic Perna Jr | Joseph Perna

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) 01/27/2025 - 26th Street Advisors, LLC - DBA for LPL Business (entity for LPL business) - INV Related - At reported business location(s) - Start Date 01/13/2025 - 160hrs/mth - 160hrs During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dominic Perna's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Dominic Perna's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 101 Crawfords Corner Rd Ste 2409, Holmdel, NJ 07733

RIA

CRD#: 8733

HOLMDEL, NJ

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 101 Crawfords Corner Rd Ste 2409, Holmdel, NJ 07733

RIA

CRD#: 8733

HOLMDEL, NJ

Past

September 4, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Marlton, NJ

Past

September 4, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Marlton, NJ

Past

March 18, 2024 - July 23, 2024

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

November 22, 2023 - July 22, 2024

SHARP FINANCIAL

RIA

CRD#: 289325

HORSHAM, PA

Past

August 16, 2019 - December 31, 2023

CITIZENS PRIVATE WEALTH

RIA

CRD#: 106743

NORTHFIELD, NJ

Past

August 24, 2018 - January 8, 2020

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

Fort Washington, PA

Past

August 13, 2018 - January 8, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

Fort Washington, PA

Past

March 2, 2012 - April 19, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RADNOR, PA

Past

January 12, 2012 - April 19, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RADNOR, PA

Past

February 6, 2009 - July 15, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHILADELPHIA, PA

Past

August 5, 2005 - April 9, 2007

TD WEALTH MANAGEMENT SERVICES INC.

RIA

CRD#: 6940

PHILADELPHIA, PA

Past

August 5, 2005 - April 9, 2007

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

April 1, 2005 - August 4, 2005

OSAIC WEALTH, INC.

RIA

CRD#: 23131

VINELAND, NJ

Past

February 7, 2005 - August 4, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 25, 2003 - September 9, 2003

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

January 2, 2003 - March 12, 2003

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

WILMINGTON, DE

Past

January 6, 2000 - November 14, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 18, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

January 18, 1996 - December 22, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 3, 1995 - January 5, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 4, 1989 - January 11, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 5, 1988 - May 3, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 5, 1988 - May 3, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(11/18/2024)

Illinois
(7/31/2025)

Nevada
(3/13/2025)

New Jersey
(11/14/2024)

IAR

New Jersey
(11/14/2024)

New York
(9/7/2025)

Pennsylvania
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/12/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/1/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/2/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/2/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Perna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dominic Perna's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Dominic Perna's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

J. ALDEN ASSOCIATES, INC.

SHARP FINANCIAL

CITIZENS PRIVATE WEALTH

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TD WEALTH MANAGEMENT SERVICES INC.

TD WEALTH MANAGEMENT SERVICES INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

ALLSTATE FINANCIAL SERVICES, LLC

WILMINGTON BROKERAGE SERVICES COMPANY

MML INVESTORS SERVICES, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/2024

Series 65

Date: 3/1/2012

SIE

Date: 10/1/2018

Series 3

Date: 3/2/2015

Series 7

Date: 6/17/1989

Series 6

Date: 12/2/1988

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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