RG
Robert A. Goralnick
LPL ENTERPRISE
Miami, FL 33126
Some features on this profile are disabled
CRD#: 2255606
RG
Professional summary
Robert A Goralnick, who also goes by Robert Alden Goralnick, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Alden Goralnick
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.
CORE INSURANCE CONCEPTS LLC POSITION: CEO NATURE: Finance and Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2022 ADDRESS: 86 Macfarlane Drive, 3D, Delray Beach FL 33483, United States DESCRIPTION: collecting commission trails PROMISSORY NOTE TO ALLIED DAIRY INC POSITION: na NATURE: Manufacturing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2022 ADDRESS: Main Street, Chatham NJ 07928, United States DESCRIPTION: NA
CRS (Client Relationship Summary) - RIA
Click below to view Robert A Goralnick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert A Goralnick'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 18, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126RIA
BD
CRD#: 8733
Miami, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126RIA
BD
CRD#: 8733
Miami, FL
Past
November 22, 2022 - November 12, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Miami, FL
Past
November 22, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Miami, FL
Past
December 20, 2018 - February 2, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AVENTURA, FL
Past
July 23, 2018 - February 2, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AVENTURA, FL
Past
September 12, 2016 - August 17, 2017
CLEARPOOL EXECUTION SERVICES, LLC
BD
CRD#: 168490
NEW YORK, NY
Past
February 17, 2016 - July 27, 2016
SAGETRADER, LLC
BD
CRD#: 137862
NEW YORK, NY
Past
January 3, 2011 - January 12, 2016
VIRTU AMERICAS LLC
BD
CRD#: 149823
JERSEY CITY, NJ
Past
February 23, 2007 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
Past
June 28, 2005 - January 3, 2011
KNIGHT DIRECT LLC
BD
CRD#: 135924
JERSEY CITY, NJ
Past
February 20, 2004 - July 8, 2005
CONOR PETERSON LLC
BD
CRD#: 111343
IRVING, TX
Past
September 4, 2003 - February 11, 2004
SRT SECURITIES LLC
BD
CRD#: 33725
BIRMINGHAM, MI
Past
September 16, 2002 - September 11, 2003
UNX LLC
BD
CRD#: 46145
BURBANK, CA
Past
January 29, 2002 - October 8, 2002
KENNY & CO., LLC
BD
CRD#: 113413
NEW YORK, NY
Past
August 23, 2001 - January 28, 2002
BURLINGTON CAPITAL MARKETS INC.
BD
CRD#: 26991
NEW YORK, NY
Past
May 2, 2000 - July 30, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
December 24, 1992 - June 1, 2000
MF GLOBAL INC.
BD
CRD#: 6731
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
Florida(11/15/2024)
IAR
Florida(11/18/2024)
RR
Indiana(12/18/2024)
RR
Massachusetts(7/16/2025)
RR
New Jersey(1/28/2025)
RR
New York(2/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamGeneral 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#: 8733Miami, FL 33126TRUST BUT VERIFY
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