MA
Marina Ageyeva
LPL ENTERPRISE
HOUSTON, TX 77027
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CRD#: 2276021
MA
Professional summary
Marina Ageyeva, ChFC®, CLU® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Houston, Texas.
Marina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Marina has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Appointed with outside carriers for the purpose of servicing non-registered products; 12619 Wilbury Park Houston TX 77041; start 10/2009; commissions; 1 hour per month, 0 hours during securities trading hours; insurance related
CRS (Client Relationship Summary) - RIA
Click below to view Marina Ageyeva's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marina Ageyeva'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®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027RIA
BD
CRD#: 8733
HOUSTON, TX
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027RIA
BD
CRD#: 8733
HOUSTON, TX
Past
September 4, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
September 4, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
February 1, 2024 - September 6, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HOUSTON, TX
Past
February 27, 2023 - December 31, 2023
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
Houston, TX
Past
July 22, 2014 - January 10, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
HOUSTON, TX
Past
March 14, 2014 - January 10, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HOUSTON, TX
Past
March 23, 2010 - February 12, 2014
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
March 19, 2007 - February 12, 2014
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
October 4, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 4, 1996 - March 9, 2007
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
GREAT NECK, NY
Past
October 14, 1992 - August 22, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
California(11/14/2024)
RR
New York(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
