Katrina L. Peck

LPL ENTERPRISE

FRUITLAND, ID

Some features on this profile are disabled

CRD#: 2709929

Professional summary

Katrina Larisa Peck, who also goes by Katrina Larisa Parks, Katrina Larisa Peck, Katrina Larisa Rush, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Fruitland, Idaho.

Katrina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Katrina has worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katrina Larisa Parks | Katrina Larisa Peck | Katrina Larisa Rush

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.

Clinical Massage Therapy provides therapeutic trigger point massage treatments and is not investment related. 5714 Lonetree Blvd. Rocklin, CA 95765. As a p/t Front Desk Associate I performed administrative duties such as scheduling, answering phones, and greeting clients for their appointments. Started Nov. 2018 (at 25 hrs a week) and then went to "on call" Jan. 2019 until Apr. 2021 (approx. 8 hrs total in that time). No hours overlapped w/ securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katrina Larisa Peck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Katrina Larisa Peck'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 18, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

FRUITLAND, ID

Current

November 18, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

FRUITLAND, ID

Current

March 7, 2025 - Present

LPL FINANCIAL LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 6413

Fort Mill, SC

Past

April 9, 2020 - October 3, 2024

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Fruitand, ID

Past

April 9, 2020 - October 3, 2024

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

January 1, 1997 - June 25, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, 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".

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

Alabama
(12/2/2024)

Alaska
(12/2/2024)

Arizona
(12/6/2024)

Arkansas
(12/10/2024)

California
(11/18/2024)

IAR

California
(11/18/2024)

Colorado
(12/2/2024)

Connecticut
(12/2/2024)

Delaware
(12/9/2024)

District of Columbia
(12/4/2024)

Florida
(12/2/2024)

Georgia
(12/2/2024)

Hawaii
(12/2/2024)

Idaho
(11/18/2024)

IAR

Idaho
(11/18/2024)

Illinois
(12/2/2024)

Indiana
(12/2/2024)

Iowa
(12/2/2024)

Kansas
(12/2/2024)

Kentucky
(12/10/2024)

Louisiana
(12/13/2024)

Maine
(12/3/2024)

Maryland
(12/4/2024)

Massachusetts
(11/27/2024)

Michigan
(12/2/2024)

Minnesota
(11/27/2024)

Mississippi
(12/3/2024)

Missouri
(11/27/2024)

Montana
(12/4/2024)

Nebraska
(11/27/2024)

Nevada
(12/2/2024)

New Hampshire
(12/4/2024)

New Jersey
(12/2/2024)

New Mexico
(12/1/2024)

New York
(12/3/2024)

North Carolina
(12/2/2024)

North Dakota
(12/2/2024)

Ohio
(11/29/2024)

Oklahoma
(12/2/2024)

Oregon
(12/3/2024)

Pennsylvania
(12/2/2024)

Rhode Island
(11/29/2024)

South Carolina
(12/2/2024)

South Dakota
(12/2/2024)

Tennessee
(12/2/2024)

Texas
(11/28/2024)

IAR

Texas
(11/28/2024)

Utah
(12/4/2024)

Vermont
(12/2/2024)

Virginia
(12/2/2024)

Washington
(11/27/2024)

West Virginia
(12/5/2024)

Wisconsin
(12/5/2024)

Wyoming
(11/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Series 24

Date: 2/27/1997

General Securities 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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Advisor Monitoring

Firm Stability Insights

Katrina L. Peck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katrina Larisa Peck's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Katrina Larisa Peck's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL FINANCIAL LLC

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

LOYAL3 SECURITIES INC.

AW SECURITIES

ALLWORTH FINANCIAL, L.P.

AW SECURITIES

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2019

Series 66

Date: 2/2/2006

Series 63

Date: 11/20/1996

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 3/26/2018

Series 7

Date: 12/24/1996

Series 53

Date: 2/13/2004

Series 4

Date: 6/18/1997

Series 24

Date: 2/27/1997

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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