Jo Laurie Schmeltzer

LPL ENTERPRISE

SAN JOSE, CA 95110

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CRD#: 2615220

Professional summary

Jo Laurie Schmeltzer, who also goes by Jo Laurie Schmeltzer, Jolaurie Schmeltzer, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.

Jo Laurie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jo Laurie has worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jo Laurie Schmeltzer | Jolaurie Schmeltzer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jo Laurie Schmeltzer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jo Laurie Schmeltzer'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: 1731 Technology Dr Suite 600, San Jose, CA 95110

RIA

CRD#: 8733

SAN JOSE, CA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110

RIA

CRD#: 8733

SAN JOSE, CA

Past

June 16, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SAN JOSE, CA

Past

June 16, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SAN JOSE, CA

Past

December 12, 2022 - March 20, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN JOSE, CA

Past

December 12, 2022 - March 20, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAN JOSE, CA

Past

July 27, 2021 - December 8, 2022

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

CAMPBELL, CA

Past

July 27, 2021 - December 8, 2022

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CAMPBELL, CA

Past

July 22, 2019 - December 16, 2019

HARRISDIRECT LLC

RIA

CRD#: 42159

Cupertino, CA

Past

July 22, 2019 - December 16, 2019

E*TRADE SECURITIES LLC

CRD#: 29106

CUPERTINO, CA

Past

December 8, 2016 - July 2, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

REDWOOD CITY, CA

Past

May 22, 2013 - December 31, 2017

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

SCOTTSDALE, AZ

Past

May 26, 2011 - December 8, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

MILLBRAE, CA

Past

October 20, 2010 - May 24, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

BURLINGAME, CA

Past

October 19, 2010 - May 24, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

BURLINGAME, CA

Past

May 10, 2006 - September 24, 2010

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

FREMONT, CA

Past

September 17, 2002 - September 24, 2010

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

FREMONT, CA

Past

September 16, 1999 - August 26, 2002

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

April 14, 1998 - September 17, 1999

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

December 2, 1997 - May 18, 1998

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

June 5, 1997 - December 15, 1997

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 24, 1997 - May 19, 1997

ASB FINANCIAL SERVICES

CRD#: 24280

IRVINE, CA

Past

March 12, 1996 - January 28, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 30, 1995 - February 28, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

California
(11/14/2024)

IAR

California
(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: 9/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/23/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/26/1995

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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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

Jo Laurie Schmeltzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jo Laurie Schmeltzer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jo Laurie Schmeltzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

SECURITIES AMERICA, INC.

CUE FINANCIAL GROUP, INC.

FOOTHILL SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

BANCWEST INVESTMENT SERVICES, INC.

FISERV INVESTOR SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

ASB FINANCIAL SERVICES

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2003

Series 63

Date: 6/9/1995

SIE

Date: 10/1/2018

Series 31

Date: 6/23/1995

Series 7

Date: 5/26/1995

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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