Ivo A. Pellei

LPL ENTERPRISE

Melville, NY 11747

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CRD#: 2204757

Professional summary

Ivo A Pellei, who also goes by Anthony Pellei, Antonio Pellei, IVan A Pellei, Ivan Pellei, Tony Pellei, Ivo Antonio Pellei, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Melville, New York.

Ivo is registered as a RR (Registered Representative) and started their career in finance in 1993. Ivo has worked at 21 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ivo A Pellei'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

June 27, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747

RIA

CRD#: 8733

Melville, NY

Past

September 28, 2022 - July 7, 2023

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

October 20, 2017 - March 24, 2022

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

WESTBURY, NY

Past

March 2, 2015 - October 8, 2015

NATIONAL SECURITIES CORPORATION

CRD#: 7569

WESTBURY, NY

Past

October 22, 2013 - April 2, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

GREAT NECK, NY

Past

March 6, 2009 - January 9, 2012

NYLIFE SECURITIES LLC

CRD#: 5167

MELVILLE, NY

Past

November 23, 2007 - January 7, 2008

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

BLOOMINGTON, IL

Past

April 28, 2005 - February 11, 2006

BENSON YORK GROUP, INC.

CRD#: 40231

MELVILLE, NY

Past

May 7, 2002 - November 4, 2003

BENSON YORK GROUP, INC.

CRD#: 40231

MELVILLE, NY

Past

January 9, 2002 - April 17, 2002

MANTIS SECURITIES, INC.

CRD#: 104019

LEVITTOWN, NY

Past

August 2, 2000 - December 31, 2001

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

February 14, 2000 - July 11, 2000

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MINNEAPOLIS, MN

Past

June 17, 1998 - April 29, 1999

TAYLOR STUART FINANCIAL, INC.

CRD#: 39025

GREAT NECK, NY

Past

January 30, 1998 - March 15, 1998

HD BROUS & CO., INC.

CRD#: 22062

GREAT NECK, NY

Past

December 17, 1997 - January 5, 1998

PHILLIP LOUIS TRADING, INC.

CRD#: 19378

RED BANK, NJ

Past

June 10, 1997 - November 18, 1997

WALSH MANNING SECURITIES, LLC

CRD#: 30826

Past

July 23, 1996 - May 23, 1997

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

Past

March 9, 1996 - July 10, 1996

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

Past

February 24, 1995 - March 22, 1995

MAIDSTONE FINANCIAL, INC.

CRD#: 31804

NEW YORK, NY

Past

December 12, 1994 - February 27, 1995

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

February 15, 1994 - December 31, 1994

JOSEPH ROBERTS & CO., INC.

CRD#: 15971

POMPANO BEACH, FL

Past

August 20, 1993 - February 17, 1994

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, 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".

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.

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

New Jersey
(8/18/2025)

New York
(6/27/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 7/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1993

General Securities 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

Ivo A. Pellei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ivo A Pellei's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

AMERITAS INVESTMENT COMPANY, LLC

NATIONAL SECURITIES CORPORATION

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NYLIFE SECURITIES LLC

FIRST MIDWEST SECURITIES, INC.

BENSON YORK GROUP, INC.

BENSON YORK GROUP, INC.

MANTIS SECURITIES, INC.

AMERICAN INVESTMENT SERVICES, INC.

QUESTAR CAPITAL CORPORATION

TAYLOR STUART FINANCIAL, INC.

HD BROUS & CO., INC.

PHILLIP LOUIS TRADING, INC.

WALSH MANNING SECURITIES, LLC

MORGAN, TAYLOR & ASSOCIATES, INC.

LEGEND MERCHANT GROUP, INC.

MAIDSTONE FINANCIAL, INC.

FIRST ASSET MANAGEMENT, INC.

JOSEPH ROBERTS & CO., INC.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1993

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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