Joseph B. Samples

LPL ENTERPRISE

TROY, MI 48084

Some features on this profile are disabled

CRD#: 2538616

Professional summary

Joseph B Samples III, who also goes by Joseph B Samples, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Troy, Michigan.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph B Samples

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) 10/10/2024- Samples & Young- Samples and Young is the business name of our JT FP practice- DBA for LPL Business (entity for LPL business)- INV Related- Southfield, MI- Start Date 09/25/2024- 180hrs/mth- 160hrs during trading 2) 10/08/2024- Seniors Helping Seniors- Seniors Helping Seniors is a national franchise for non-medical in-home care services - I am part owner - wife is operator and runs the business- Business Owner- Not INV Related- Southfield, MI- 20hrs/mth- 0hrs during trading 3) 10/08/2024- Gethsemane Missionary Baptist Church- I am a trustee at my church - I help maintain the property and contents of church- Non-Profit Board Member- INV Related- Southfield, MI- Start Date 09/25/2024- 20hrs/mth- 0hrs during trading 4) 10/08/2024- Gethsemane Missionary Baptist Church- Associate Minister - teach Bible Study, and support Pastor with activities in service and during funerals- Non-Profit Board Member- Not INV Related- Southfield. MI- Start Date 09/25/2024- 15hrs/mth- 0hrs during trading 5) 10/10/2024- Samples Holdings- Samples Holdings is the entity created for reporting book sales- Author- Not INV Related- Southfield, MI- Start Date 09/25/2024- 10hrs/mth- 0hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph B Samples III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph B Samples III'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®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084Office #2: 26677 W 12 Mile Rd Suite 166, Southfield, MI 48034

RIA

CRD#: 8733

TROY, MI

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084Office #2: 26677 W 12 Mile Rd Suite 166, Southfield, MI 48034

RIA

CRD#: 8733

TROY, MI

Past

August 28, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TROY, MI

Past

August 28, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

TROY, MI

Past

July 31, 2018 - September 13, 2019

SB ADVISORY, LLC

RIA

CRD#: 154680

Southfield, MI

Past

July 31, 2018 - September 13, 2019

IFS SECURITIES

CRD#: 40375

Southfield, MI

Past

August 24, 2011 - August 9, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Southfield, MI

Past

August 8, 2001 - August 9, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Southfield, MI

Past

April 20, 2001 - August 8, 2001

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

February 14, 2000 - April 20, 2001

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

April 6, 1999 - February 15, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 10, 1997 - April 14, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 21, 1994 - October 21, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 21, 1994 - October 21, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(11/14/2024)

Arizona
(11/14/2024)

District of Columbia
(11/14/2024)

Florida
(12/10/2024)

Georgia
(11/14/2024)

Illinois
(7/16/2025)

Louisiana
(11/14/2024)

Maryland
(11/14/2024)

Michigan
(11/14/2024)

IAR

Michigan
(11/14/2024)

Nevada
(11/14/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

North Carolina
(11/14/2024)

IAR

North Carolina
(11/14/2024)

Ohio
(11/14/2024)

South Carolina
(11/14/2024)

IAR

South Carolina
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(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 65

Date: 8/22/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1994

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

Joseph B. Samples

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph B Samples III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph B Samples III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

SB ADVISORY, LLC

IFS SECURITIES

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2011

Series 63

Date: 9/28/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1994

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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