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DS

Daniel C. Seefeldt

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CRD#: 2073746
DS
Daniel C Seefeldt

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel C Seefeldt, who also goes by Dan Seefeldt, Daniel Clinton Seefeldt, Daniel Seefeldt, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Aliases

Dan Seefeldt | Daniel Clinton Seefeldt | Daniel Seefeldt

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) 08/20/2024-Helen Wells Agency-Other-Act in various commercials, print ads, etc-INDIANAPOLIS, IN- NOT INV related-start date-04/01/2016- 2 HRS/MTH- 2 during trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 14, 2024 - February 11, 2026

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
INDIANAPOLIS, IN
Past

November 14, 2024 - February 11, 2026

LPL ENTERPRISE, LLC

BD
CRD#: 8733
INDIANAPOLIS, IN
Past

November 2, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Indianapolis, IN
Past

October 25, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Indianapolis, IN
Past

July 20, 2021 - October 21, 2022

OSAIC FA, INC.

RIA
CRD#: 3978
INDIANAPOLIS, IN
Past

July 20, 2021 - October 21, 2022

OSAIC FA, INC.

BD
CRD#: 3978
INDIANAPOLIS, IN
Past

August 14, 2018 - August 5, 2021

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Indianapolis, IN
Past

November 1, 2017 - August 5, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Indianapolis, IN
Past

December 3, 2012 - November 25, 2015

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Indianapolis, IN
Past

September 2, 2011 - November 6, 2012

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
GREENFIELD, IN
Past

July 13, 1990 - June 16, 1994

PFS INVESTMENTS INC.

BD
CRD#: 10111

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

What does exam status mean?
State Security Law Exam
PR
Series 65
Status Unavailable
Passed: 8/13/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 9/23/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 6
Status Unavailable
Passed: 9/1/2011
Investment Company Products/Variable Contracts Representative Examination

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
5,215

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 (7/1/2026)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
EVANGELIOU, KIRIAKOS ANDREASSVP, CHIEF COMPLIANCE OFFICER2496177
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742

Regulatory assets under management

Total Number of Accounts139,192
AUM (Assets Under Management)$ 24,939,385,373

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2026
Cover Page
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.

Company Information

LPL ENTERPRISE, LLC

CRD#: 8733

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