LR
Lawrence P. Rose
LPL ENTERPRISE
Bradenton, FL 34205
Some features on this profile are disabled
CRD#: 2676027
LR
Professional summary
Lawrence Philip Rose, who also goes by Lawrence P Rose, Lawrence Phil Rose, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Bradenton, Florida.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Lawrence has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lawrence P Rose | Lawrence Phil Rose
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.
Replay Outreach, Inc.~PO Box 20893, Bradenton, FL 34204~Non-Profit - Working with at Risk Teens~N~Pres of Board~10/2012~10 hrs/mo~0 trading hrs/mo-|Ohio Nat'l Life Ins Co LEGACY BUILDERS FINANCIAL POSITION: Financial Professional NATURE: Sales and Service of Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/01/2017 ADDRESS: 401 N Cattlemen Rd, Ste 110, Sarasota FL 34232, United States DESCRIPTION: Sales and Service of Insurance and Investments
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Philip Rose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Philip Rose'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 18, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 339 6th Ave W Ste 37a & 9, Bradenton, FL 34205RIA
BD
CRD#: 8733
Bradenton, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 339 6th Ave W Ste 37a & 9, Bradenton, FL 34205RIA
BD
CRD#: 8733
Bradenton, FL
Past
March 24, 2017 - November 12, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Bradenton, FL
Past
February 14, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Bradenton, FL
Past
February 14, 2013 - February 23, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
BRADENTON, FL
Past
February 12, 2013 - February 23, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
BRADENTON, FL
Past
April 19, 2011 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
BRADENTON, FL
Past
December 22, 2009 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
BRADENTON, FL
Past
March 23, 2005 - October 27, 2009
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
JACKSONVILLE, IL
Past
February 22, 2005 - October 27, 2009
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
JACKSONVILLE, IL
Past
September 29, 2003 - February 22, 2005
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SPRINGFIELD, IL
Past
September 29, 2003 - February 22, 2005
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
October 24, 2002 - October 9, 2003
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SPRINGFIELD, IL
Past
November 28, 1995 - October 9, 2003
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(1/2/2025)
RR
Arizona(11/14/2024)
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
IAR
Florida(11/18/2024)
RR
Georgia(3/18/2025)
RR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
RR
Kansas(7/19/2025)
RR
Kentucky(7/17/2025)
RR
Michigan(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(4/2/2025)
RR
South Carolina(1/2/2025)
RR
Tennessee(4/29/2025)
RR
Texas(5/7/2025)
RR
Washington(5/29/2025)
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.
