RH
Robert G. Howard
LPL ENTERPRISE
Leesburg, VA 20176
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CRD#: 2621872
RH
Professional summary
Robert Gerard Howard, who also goes by Bob Howard, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Leesburg, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Howard
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.
NON-SPONSORED APPOINTMENT POSITION: sales of insurance products NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2023 ADDRESS: 1912 Liberty Rd, STE 30F2, Eldersburg MD 21784, United States DESCRIPTION: Sales of insurance products INTEGRATED WEALTH ADVISORS POSITION: Partner NATURE: DBA for Financial Planning, Insurance, and Investments INVESTMENT RELATED: No NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 240 START DATE: 09/02/2024 ADDRESS: 20 West Market St, SUITE 1, Leesburg VA 20176, United States DESCRIPTION: Advising Clients, financial sales, servicing of accounts and policies sold.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Gerard Howard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Gerard Howard'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 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 20 W Market Street #1, Leesburg, VA 20176RIA
BD
CRD#: 8733
Leesburg, VA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 20 W Market Street #1, Leesburg, VA 20176RIA
BD
CRD#: 8733
Leesburg, VA
Past
January 5, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Leesburg, VA
Past
January 4, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Leesburg, VA
Past
February 17, 2021 - September 30, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
February 17, 2021 - September 30, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
LEESBURG, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
February 20, 2008 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
LEESBURG, VA
Past
February 20, 2008 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
LEESBURG, VA
Past
June 13, 2006 - February 27, 2008
NEW ENGLAND SECURITIES
RIA
CRD#: 615
BETHESDA, MD
Past
May 25, 2006 - February 27, 2008
NEW ENGLAND SECURITIES
BD
CRD#: 615
BETHESDA, MD
Past
February 5, 2003 - May 17, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 8, 1999 - February 5, 2003
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
September 2, 1997 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
June 9, 1995 - May 30, 1997
NEW ENGLAND SECURITIES
BD
CRD#: 615
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".
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
Arizona(11/14/2024)
RR
California(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/18/2024)
RR
Maryland(11/14/2024)
RR
Missouri(11/14/2024)
RR
New Jersey(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Rhode Island(11/14/2024)
RR
Virginia(11/14/2024)
IAR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
RR
West Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Leesburg, VA 20176TRUST BUT VERIFY
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