Eleftherios Aris

LPL ENTERPRISE

Melville, NY 11747

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CRD#: 2326792

Professional summary

Eleftherios Aris, CFP®, who also goes by Eleftherios Ethan Aris, Ethan Aris, Ethan Aris, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.

Eleftherios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Eleftherios has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eleftherios Ethan Aris | Ethan Aris | Ethan Aris

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) 10/01/2024- Giro Giro Roma (LLC), DBA Milford Leathers- Other- Provide accounting and recordkeeping services for the company.- INV Related- At New York, NY- Start date 05/08/2007- 10 HRS MTH- 0 HRS During Trading. 2) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eleftherios Aris's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Eleftherios Aris'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747Office #2: 303 5th Ave Suite 1810, New York, NY 10016

RIA

CRD#: 8733

Melville, NY

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747Office #2: 303 5th Ave Suite 1810, New York, NY 10016

RIA

CRD#: 8733

Melville, NY

Past

May 28, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

New York, NY

Past

December 11, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

New York, NY

Past

May 31, 2018 - July 9, 2018

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

MELVILLE, NY

Past

May 23, 2018 - July 9, 2018

NATIONAL SECURITIES CORPORATION

CRD#: 7569

MELVILLE, NY

Past

June 15, 2016 - January 30, 2018

FISHER INVESTMENTS

RIA

CRD#: 107342

BAY SHORE, NY

Past

October 2, 2014 - June 3, 2016

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

October 2, 2014 - June 3, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

November 6, 2008 - September 29, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

HAUPPAUGE, NY

Past

September 25, 2008 - September 29, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, NY

Past

August 2, 2007 - September 4, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEW YORK, NY

Past

July 18, 2007 - September 4, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

October 28, 2005 - February 28, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(11/15/2024)

New Jersey
(11/14/2024)

IAR

New Jersey
(11/14/2024)

New York
(11/14/2024)

IAR

New York
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/5/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/2005

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

Eleftherios Aris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eleftherios Aris's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eleftherios Aris's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

FISHER INVESTMENTS

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/5/2005

SIE

Date: 7/9/2018

Series 7

Date: 10/27/2005

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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