GD
Geoffrey H. Dietzel
LPL ENTERPRISE
NORTH BRUNSWICK, NJ 08902
Some features on this profile are disabled
CRD#: 1909751
GD
Professional summary
Geoffrey Herbert Dietzel, who also goes by Geoff Dietzel, Geoffrey Dietzel, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in North Brunswick, New Jersey.
Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Geoffrey has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Geoff Dietzel | Geoffrey Dietzel
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.
1.09/19/2024; THE GARBACK AGENCY; DBA for ins COmpanies; Yes inv related; 25 hr/mo non trading; 1 hr/mo trading; 01/01/2022 MCRCC- AMBASSADOR COMMITTEE~109 CHURCH ST., NEW BRUNSWICK, NJ 08901~CHAMBER OF COMMERCE~N~CO-CHAIR: AMBASSADOR COMMITTEE; WELCOME NEW & RENEWING MEMBERS, NO FINANCIAL RESPONSIBILITIES OR CHECK WRITING RESPONSIBILITIES~1/1/2011~4 HRS/MO~4 TRADING HRS/MO;BRUNSWICK FIN'L GROUP, LLC~513 GEORGES RD., NORTH BRUNSWICK, NJ 08902~INS & FIN'L SERVICES~Y~DIRECTOR~2/2002~160 HRS/MO~132 TRADING HRS/MO THE GARBACK AGENCY POSITION: Financial Advisor NATURE: Prudential/Pruco DBA - sales & solicitation of Prudential/Pruco/Sponsored Outbrokerage products INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 07/01/2022 ADDRESS: 513 Georges Road, North Brunswick NJ 08902, United States DESCRIPTION: Sales & Service of Prudential/Pruco/Sponsored Outbrokerage ROTARY OF NEW BRUNSWICK POSITION: Club President NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 04/10/2023 ADDRESS: PO Box 1430, New Brunswick NJ 08903, United States DESCRIPTION: Duties and responsibilities are to help to direct and manage this community focused club.
CRS (Client Relationship Summary) - RIA
Click below to view Geoffrey Herbert Dietzel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey Herbert Dietzel'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: 513 Georges Road, North Brunswick, NJ 08902RIA
BD
CRD#: 8733
NORTH BRUNSWICK, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 513 Georges Road, North Brunswick, NJ 08902RIA
BD
CRD#: 8733
NORTH BRUNSWICK, NJ
Past
May 18, 2004 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
NORTH BRUNSWICK, NJ
Past
January 9, 2003 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NORTH BRUNSWICK, NJ
Past
May 3, 1999 - February 6, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
June 23, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 22, 1991 - November 19, 1993
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
May 22, 1991 - November 19, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
June 14, 1990 - January 3, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 24, 1989 - June 26, 1990
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
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
California(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Louisiana(3/10/2025)
RR
Minnesota(11/14/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Utah(11/14/2024)
Exams
State Security Law Exam
State Security Law 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#: 8733North Brunswick, NJ 08902TRUST BUT VERIFY
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