John A. Rosado

LPL ENTERPRISE

Warrington, PA 18976

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CRD#: 2621630

Professional summary

John Angel Rosado, who also goes by John A Rosado Jr, John A Rosado, John Rosado, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Warrington, Pennsylvania.

John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John A Rosado Jr | John A Rosado | John Rosado

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) - BD

Click below to view John Angel Rosado'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: 2700 Kelly Road Suite 100d, Warrington, PA 18976

RIA

CRD#: 8733

Warrington, PA

Past

January 25, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Warrington, PA

Past

July 26, 2019 - January 19, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Media, PA

Past

August 5, 2015 - August 21, 2017

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

UNION, NJ

Past

December 23, 2013 - August 14, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Roseland, NJ

Past

September 19, 2012 - January 14, 2014

SANTANDER SECURITIES LLC

CRD#: 41791

CLARK, NJ

Past

April 6, 2009 - September 19, 2012

LPL FINANCIAL LLC

CRD#: 6413

LINDEN, NJ

Past

June 6, 2001 - March 6, 2009

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

PERTH AMBOY, NJ

Past

April 19, 2001 - June 6, 2001

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

August 2, 2000 - January 17, 2001

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 12, 1998 - January 20, 1999

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Past

October 3, 1997 - January 21, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 1, 1996 - May 22, 1997

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.

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
(11/18/2024)

Maryland
(2/10/2025)

New Jersey
(11/14/2024)

New York
(12/11/2024)

Pennsylvania
(11/14/2024)

Puerto Rico
(3/19/2025)

Virginia
(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.

Exams

State Security Law Exam

Series 63

Date: 5/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/1996

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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Firm Stability Insights

John A. Rosado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Angel Rosado's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

COMPULIFE INVESTOR SERVICES, INC.

SUNAMERICA SECURITIES, INC.

WEATHERLY SECURITIES CORPORATION

LPL FINANCIAL LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1996

SIE

Date: 8/21/2017

Series 7

Date: 4/30/1996

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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