SW
Susan H. Witte
LPL ENTERPRISE
MARLTON, NJ 08053
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CRD#: 2028708
SW
Professional summary
Susan Heather Witte, who also goes by Susan Heather Schwartz, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Marlton, New Jersey.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Susan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Heather Schwartz
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) 12/06/2024-Garden State Financial Agency-Director of Business Development-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date-12/06/2021-217hrs/mth-170hrs/mth during trading 2) 09/29/2025-Congregation Kol Ami-Membership VP Sisterhood-Non-Profit Board Member-Inv related-At Cherry Hill, NJ-Start date 09/26/2025-10hrs/mth-2hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Susan Heather Witte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Heather Witte'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: 10000 Lincoln Dr. E. Suite 201, Marlton, NJ 08053RIA
BD
CRD#: 8733
MARLTON, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 10000 Lincoln Dr. E. Suite 201, Marlton, NJ 08053RIA
BD
CRD#: 8733
MARLTON, NJ
Past
August 27, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Marlton, NJ
Past
July 26, 2016 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Marlton, NJ
Past
September 25, 2014 - May 11, 2016
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
January 24, 2014 - July 3, 2014
OSAIC FA, INC.
BD
CRD#: 3978
CHERRY HILL, NJ
Past
April 10, 2013 - December 9, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
RADNOR, PA
Past
June 15, 2010 - April 1, 2013
PFM FUND DISTRIBUTORS, INC.
BD
CRD#: 114474
PHILADELPHIA, PA
Past
November 22, 2004 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
HADDONFIELD, NJ
Past
November 17, 2004 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
HADDONFIELD, NJ
Past
October 17, 2003 - November 3, 2004
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
August 14, 2002 - October 1, 2003
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
NEW YORK, NY
Past
July 30, 1991 - October 1, 2003
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
March 7, 1990 - December 21, 1990
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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
Colorado(11/14/2024)
RR
Connecticut(12/13/2024)
RR
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Maryland(11/14/2024)
RR
Nevada(4/2/2025)
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
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(1/22/2025)
RR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
RR
West Virginia(10/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
