Daniel Fahringer

LPL ENTERPRISE

HARRISBURG, PA 17112

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CRD#: 2630292

Professional summary

Daniel Fahringer, CLU®, who also goes by Daniel Alan Fahringer, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Harrisburg, Pennsylvania.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 17 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Alan Fahringer

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) 11/06/2024 - Forest Hills Financial Group - This is my DBA outside office for Prudential and now LPL - DBA for LPL Business (entity for LPL business) - Inv Related - At Harrisburg PA - Start Date 01/02/2024 - 40hrs/mth - 40hrs/mth During Trading 2) 11/05/2024 - National Life Group - Receive trail commission from non-variable life products - Inv Related - At Harrisburg PA - Start Date 02/01/2022 - 0hrs/mth - 0hrs/mth During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Fahringer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Fahringer'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®

CLU^®

Chartered Life Underwriter

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 2209 Forest Hills Dr. Suite 20, Harrisburg, PA 17112

RIA

CRD#: 8733

HARRISBURG, PA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 2209 Forest Hills Dr. Suite 20, Harrisburg, PA 17112

RIA

CRD#: 8733

HARRISBURG, PA

Past

April 27, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Harrisburg, PA

Past

April 27, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Harrisburg, PA

Past

May 1, 2020 - April 26, 2022

EQUITY SERVICES, INC.

RIA

CRD#: 265

HARRISBURG, PA

Past

May 1, 2020 - April 26, 2022

EQUITY SERVICES, INC.

CRD#: 265

HARRISBURG, PA

Past

January 29, 2020 - April 6, 2020

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

LANCASTER, PA

Past

November 1, 2019 - April 6, 2020

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

LANCASTER, PA

Past

August 12, 2019 - October 28, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

HARRISBURG, PA

Past

August 12, 2019 - October 28, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

HARRISBURG, PA

Past

August 31, 2015 - June 13, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

HARRISBURG, PA

Past

January 15, 2015 - August 14, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CAMP HILL, PA

Past

January 9, 2015 - August 14, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CAMP HILL, PA

Past

December 23, 2013 - November 28, 2014

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CARLISLE, PA

Past

December 20, 2013 - November 28, 2014

INVEST FINANCIAL CORPORATION

CRD#: 12984

CARLISLE, PA

Past

February 7, 2013 - November 27, 2013

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CAMP HILL, PA

Past

February 6, 2013 - November 27, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

CAMP HILL, PA

Past

August 23, 2012 - September 17, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HARRISBURG, PA

Past

October 20, 2010 - August 31, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

HARRISBURG, PA

Past

October 20, 2010 - August 31, 2012

LPL FINANCIAL LLC

CRD#: 6413

HARRISBURG, PA

Past

October 8, 2010 - October 19, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HERSHEY, PA

Past

September 17, 2010 - October 19, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HERSHEY, PA

Past

May 1, 2009 - September 20, 2010

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

HERSHEY, PA

Past

March 20, 2009 - September 20, 2010

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

HERSHEY, PA

Past

February 9, 2004 - July 22, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 15, 2001 - January 16, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 7, 2001 - May 14, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 19, 2000 - January 1, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 26, 1997 - June 22, 1998

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

July 12, 1995 - August 5, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, 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

Connecticut
(1/16/2025)

Delaware
(4/2/2025)

North Carolina
(5/13/2025)

Ohio
(6/17/2025)

Oregon
(5/13/2025)

Pennsylvania
(11/14/2024)

IAR

Pennsylvania
(11/14/2024)

Tennessee
(1/16/2025)

Washington
(1/21/2025)

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: 4/13/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/5/1996

Investment Company Products/Variable Contracts Principal 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel Fahringer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Fahringer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Fahringer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

NYLIFE SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

VOYA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

OSAIC WEALTH, INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

TD AMERITRADE, INC.

FERRIS, BAKER WATTS, LLC

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2009

Series 63

Date: 7/28/1995

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2009

Series 6

Date: 7/10/1995

Series 24

Date: 11/22/2010

Series 26

Date: 7/5/1996

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

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