CS
Carlo Sestito
LPL ENTERPRISE
PALM BEACH GARDENS, FL
Some features on this profile are disabled
CRD#: 1968645
CS
Professional summary
Carlo Sestito, who also goes by Carol Nonr Sestito, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Palm Beach Gardens, Florida.
Carlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Carlo has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Nonr Sestito
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.
Sestito Family , LLC~2329 Hwy 34, Suite 202, Manasquan, NJ 08736~Limited Liability~N~Initial Member~1/2004~1 hrs/mo~1 trading hrs/mo|Sestito Fin'l Services (DBA)~2329 Hwy 34, Suite 202, Manasquan, NJ 08736~DBA~Y~Sole Proprietor~7/1/1997~5 hrs/mo~5 trading hrs/mo|Aetna|AIG - American General Life Ins Co|All Risks Limited|All Savers Ins|Alpha Staff MGA|American Marine Underwriters Agency|Amerihealth Hmo Inc|Applied Underwriters|Ascensus Ins Services Inc|Axa Equitable|Bankers Fidelity Life Ins Co|Boynton & Boynton|Cabrillo Coastal General Ins Agency LLC|ChoicePoint|Chubb Indemnity Ins Co|Cigna Life Ins Co Of New York|CNA|Coastal Agents Alliance LLC|Colonial Life & Accident Ins Co|Continental Life Ins|Delta Dental Of Pennsylvania|DVUA (Division of Hull & Co)|Emerson Reid LLC|Empire BC/BS|Employers Network Association|Ferrara Fin'l Group|First Rehab Life|FNA General Agency|Foremost Ins Co|Foremost Property & Casualty Ins Co|Foremost Signature Ins Co|FTP|G&G Underwriters|Genworth Fin'l Health|GettHealth Ins Services|Guard Ins Group|Guardian|Hartford|Horizon Health Plan Inc|Idilus LLC|IFN GA for Genworth Health|Independence Blue Cross of PA|Ins Innovators|Ins Shop & PaySmart|Insurex|ING|IOA Northeast|Jimcor Agencies|John Hancock|Leon G Silver & Assocs|LifeRE|Lincoln Fin'l Group|Ltd.|Martin Agency|Mass Mutual|Medical Prof (Medpro)|Medical Risk Management|Merchants Ins Group|Mercury Ins Group|Met Life|Metcom Excess|Morstan General Agency|Mutual of Omaha|New Jersey Skylands Ins|Niroc Consultants|NJ CRIB|NJ IUA|NJ PAIP/CAIP|NJ Small Bus Underwriters|Ohio Nat'l Life Ins Co|Oscar Garden State Ins Corp|Oxford Life Ins Co|Pacific Life Ins Co Va|Pacific Life Ins company|Paul Revere Life Ins Co|Pennsylvania Lumbermens Mutual Ins Co|Personal Umbrella|Philadelphia Contributionship Ins Co The|Philadelphia Ins Co.|Phoenix Life & Annuity Co|Pinnacle Fin'l Services|Premium Assignment Corp|Princeton Ins Co|Principal Life Ins Co.|Prof Group Plans|Progressive Drive|Quaker Special Risk|Qualcare|Savoy Assocs|Starr Indemnity & Liab (underwriters for G&G)|Sun America|SunLife Fin'l|Synergy Prof Asso|Total Administrative Services Corp (TASC)|Transamerica Retirement Services|Travelers Indem Co|Trigon Health & Life Ins Co|United Health Care|UnumProvident|Usable Life|Vision Service Plan|William Penn|Zenith Ins Co|Zurich Ins Co 604 SECOND AVENUE, LLC POSITION: Partner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 2329 State Highway 34, Suit 202, Manasquan NJ 08736, United States DESCRIPTION: Managing Partner FIXED ANNUITY APPOINTMENTS POSITION: Financial Advisor/Insurance Sales NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/20/2021 ADDRESS: Sestito Financial Services, 2329 State Highway 34, Manasquan NJ 08736, United States DESCRIPTION: Outbrokerage (non-sponsored) fixed annuity appointments w/ various carriers. AFLAC POSITION: Broker NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/14/2021 ADDRESS: 1932 Wynnton Road, Columbus GA 31999, United States DESCRIPTION: Offer ancillary benefits in conjunction with health. NON SPONSORED HEALTH INSURANCE APPOINTMENTS POSITION: owner NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/17/2022 ADDRESS: 2329 Highway 34, Manasquan NJ 08736, United States DESCRIPTION: sales and service of health insurance
CRS (Client Relationship Summary) - RIA
Click below to view Carlo Sestito's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlo Sestito'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 #2: 2329 Highway 34 Summit Corporate Ctr Suite 202, Manasquan, NJ 08736RIA
BD
CRD#: 8733
PALM BEACH GARDENS, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 2329 Highway 34 Summit Corporate Ctr Suite 202, Manasquan, NJ 08736RIA
BD
CRD#: 8733
PALM BEACH GARDENS, FL
Past
June 21, 2002 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MANASQUAN, NJ
Past
July 25, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 25, 1989 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MANASQUAN, 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".
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
Arizona(11/14/2024)
RR
California(4/22/2025)
RR
Connecticut(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Illinois(11/14/2024)
RR
Indiana(10/24/2025)
RR
Maryland(4/22/2025)
RR
New Hampshire(4/24/2025)
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
Oregon(4/24/2025)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Texas(11/14/2024)
RR
Virginia(4/21/2025)
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.
