RL
Ralph W. Lunt
LPL ENTERPRISE
GULFPORT, MS
Some features on this profile are disabled
CRD#: 2289522
RL
Professional summary
Ralph W Lunt, who also goes by Ralph William Lunt, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Gulfport, Mississippi.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ralph has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ralph William Lunt
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.
1.10/28/2024; MAGELLAN HEALTH; Financial readyiness; YES inv related ; 8 hrs/mo non trading; 8 hr/mo trading; 08/24/2024 2. 09/19/2024; KELLY SERVICES; Substitute teacher; NON inv related; 8 hr/mo non trading;;8 hr/mo trading; 02/01/2023 KELLY SERVICES POSITION: Substitute Teacher NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 02/01/2024 ADDRESS: 15118 Crossroads Parkway, Gulfport MS 39503, United States DESCRIPTION: Substitute Teaching GENERAL HEALTH INSURANCE POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 05/01/2024 ADDRESS: 502 Sharp Blvd, Gulfport MS 39503, United States DESCRIPTION: Selling and Servicing Health Insurance MAGELLAN FEDERAL POSITION: Personal Financial Consultant NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/09/2024 ADDRESS: 2800 Shirlington Rd, Suite 350, Arlington VA 22206, United States DESCRIPTION: Primary responsibilities include the full breadth of personal financial counseling services to military service members and their families at military installations.
CRS (Client Relationship Summary) - RIA
Click below to view Ralph W Lunt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph W Lunt'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 #2: 3054 Monterrey Drive, Baton Rouge, LA 70814RIA
BD
CRD#: 8733
GULFPORT, MS
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3054 Monterrey Drive, Baton Rouge, LA 70814RIA
BD
CRD#: 8733
BATON ROUGE, LA
Past
May 14, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Ridgeland, MS
Past
April 5, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Ridgeland, MS
Past
January 29, 2024 - February 12, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
December 6, 2023 - February 12, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
October 12, 2022 - May 18, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Cincinnati, OH
Past
October 11, 2022 - May 18, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Cincinnati, OH
Past
February 27, 2009 - October 27, 2020
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BEAVERCREEK, OH
Past
February 27, 2009 - October 27, 2020
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BEAVERCREEK, OH
Past
February 18, 2003 - November 3, 2022
STRATEGIC CAPITAL ADVISORS
RIA
CRD#: 119375
AVON, OH
Past
February 27, 2002 - February 27, 2009
ADVANTAGE CAPITAL CORPORATION
RIA
CRD#: 146
AVON, OH
Past
May 14, 2001 - February 27, 2009
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
AVON, OH
Past
December 2, 1999 - May 14, 2001
PRIM SECURITIES, INCORPORATED
BD
CRD#: 30504
INDEPENDENCE, OH
Past
January 10, 1995 - December 1, 1999
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
November 4, 1992 - February 7, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 4, 1992 - February 7, 1995
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
Louisiana(11/14/2024)
IAR
Louisiana(11/12/2025)
RR
Mississippi(11/14/2024)
IAR
Mississippi(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
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.
