Rosa C. Del Rosario

LPL ENTERPRISE

Warrington, PA 18976

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CRD#: 2638691

Professional summary

Rosa C. Del Rosario, who also goes by Rosa C Delrosario, Rosa Delrosario, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Warrington, Pennsylvania.

Rosa is registered as a RR (Registered Representative) and started their career in finance in 1995. Rosa has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rosa C Delrosario | Rosa Delrosario

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 Rosa C. Del Rosario'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

April 21, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 2700 Kelly Road Suite 100d, Warrington, PA 18976

RIA

CRD#: 8733

Warrington, PA

Past

August 23, 2016 - July 16, 2024

CABOT LODGE SECURITIES LLC

CRD#: 159712

Royersford, PA

Past

April 24, 2015 - September 13, 2016

ANDREW GARRETT INC.

CRD#: 29931

rye brook, NY

Past

July 21, 2004 - April 27, 2015

CLARK DODGE & CO., INC.

CRD#: 23288

WHITE PLAINS, NY

Past

December 5, 2001 - July 29, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

April 20, 2001 - December 13, 2001

ADOLPH KOMORSKY INVESTMENTS

CRD#: 30838

TARRYTOWN, NY

Past

April 25, 2000 - April 25, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 4, 2000 - March 21, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 16, 1996 - December 22, 1999

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

November 11, 1996 - December 16, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 15, 1996 - November 26, 1996

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

PORT WASHINGTON, NY

Past

September 20, 1995 - March 26, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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

California
(11/6/2025)

Connecticut
(4/21/2025)

Florida
(7/2/2025)

New Jersey
(4/21/2025)

New York
(4/21/2025)

North Carolina
(11/6/2025)

Pennsylvania
(4/21/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 10/31/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/19/1995

Investment Company Products/Variable Contracts 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

Rosa C. Del Rosario

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosa C. Del Rosario's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

ANDREW GARRETT INC.

CLARK DODGE & CO., INC.

RYAN BECK & CO.

ADOLPH KOMORSKY INVESTMENTS

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

GROVE POINT INVESTMENTS, LLC

LPL FINANCIAL LLC

FIRST PROVIDENCE FINANCIAL GROUP, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/12/2002

Series 6

Date: 9/19/1995

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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