EY
Evan C. Yeakel
LPL ENTERPRISE
FORT MILL, TX
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CRD#: 2328127
EY
Professional summary
Evan Cameron Yeakel, who also goes by Evan Cameron Yeakel, Evan C Yeakel, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Fort Mill, Texas.
Evan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Evan has worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Evan Cameron Yeakel | Evan C Yeakel
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-Notary-Inv Related-At Cedar Park, TX-Start date 06/10/2024-0hrs/mth
CRS (Client Relationship Summary) - RIA
Click below to view Evan Cameron Yeakel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Evan Cameron Yeakel'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 27, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
FORT MILL, TX
Current
October 2, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
FORT MILL, TX
Past
March 4, 2005 - January 11, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Austin, TX
Past
February 23, 1999 - December 7, 2007
CYBERTRADER, INC.
BD
CRD#: 44523
AUSTIN, TX
Past
February 21, 1995 - February 12, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
April 17, 1993 - January 1, 1994
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
March 15, 1993 - April 6, 1993
MONACO SECURITIES, INC.
BD
CRD#: 15719
DENVER, CO
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
Alabama(12/6/2024)
RR
Alaska(12/6/2024)
RR
Arizona(12/17/2024)
RR
Arkansas(12/17/2024)
RR
California(12/5/2024)
RR
Colorado(12/6/2024)
RR
Connecticut(12/5/2024)
RR
Delaware(12/12/2024)
RR
District of Columbia(12/9/2024)
RR
Florida(12/6/2024)
RR
Georgia(12/6/2024)
RR
Hawaii(12/6/2024)
RR
Idaho(12/5/2024)
RR
Illinois(12/6/2024)
RR
Indiana(12/6/2024)
RR
Iowa(12/12/2024)
RR
Kansas(12/5/2024)
RR
Kentucky(12/10/2024)
RR
Louisiana(12/13/2024)
RR
Maine(12/6/2024)
RR
Maryland(12/12/2024)
RR
Massachusetts(12/6/2024)
RR
Michigan(12/9/2024)
RR
Minnesota(12/6/2024)
RR
Mississippi(12/6/2024)
RR
Missouri(12/9/2024)
RR
Montana(12/10/2024)
RR
Nebraska(12/5/2024)
RR
Nevada(12/10/2024)
RR
New Hampshire(12/6/2024)
RR
New Jersey(12/5/2024)
RR
New Mexico(12/6/2024)
RR
New York(12/10/2024)
RR
North Carolina(12/6/2024)
RR
North Dakota(12/9/2024)
RR
Ohio(12/6/2024)
RR
Oklahoma(12/5/2024)
RR
Oregon(12/9/2024)
RR
Pennsylvania(12/6/2024)
RR
Rhode Island(12/6/2024)
RR
South Carolina(10/2/2024)
IAR
South Carolina(12/3/2024)
RR
South Dakota(12/6/2024)
RR
Tennessee(12/6/2024)
RR
Texas(10/2/2024)
IAR
Texas(11/27/2024)
RR
Utah(12/6/2024)
RR
Vermont(12/5/2024)
RR
Virginia(12/6/2024)
RR
Washington(12/5/2024)
RR
West Virginia(12/12/2024)
RR
Wisconsin(12/5/2024)
RR
Wyoming(12/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
