BA
Brandon S. Atkinson
LPL ENTERPRISE
SANDY, UT 84070
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CRD#: 2716121
BA
Professional summary
Brandon S Atkinson, ChFC® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Sandy, Utah.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brandon 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
None
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) 12/16/2024- Retirement Ready- DBA for LPL Business (entity for LPL business)- Retirement Ready is a DBA for LPL business- INV Related- At Sandy, UT- Start date 01/01/2024- 10 HRS MTH- 10 HRS During Trading 2) 10/01/2024- Brandon S Atkinson- Non-Variable Insurance- Acting as a broker for Group Health, Life and Disability- INV Related- At Sandy, UT- Start date 01/01/2022- 5 HRS MTH- 5 HRS During Trading 3) 10/01/2024- Atkinson Financial Group, LLC- DBA for LPL Business (entity for LPL business)- Atkinson Financial Group, LLC was created to track and pay business expenses.- Not INV Related- At Sandy, UT- Start date 01/01/2024- 2 HRS MTH- 2 HRS During Trading 4) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Brandon S Atkinson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brandon S Atkinson'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®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 10011 S Centennial Parkway Suite 320, Sandy, UT 84070RIA
BD
CRD#: 8733
SANDY, UT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 10011 S Centennial Parkway Suite 320, Sandy, UT 84070RIA
BD
CRD#: 8733
SANDY, UT
Past
September 25, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Sandy, UT
Past
September 25, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Sandy, UT
Past
May 17, 2019 - May 22, 2019
SPC
RIA
CRD#: 110692
South Jordan, UT
Past
May 16, 2019 - May 22, 2019
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
May 5, 2016 - October 2, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SALT LAKE CITY, UT
Past
May 5, 2016 - October 2, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SALT LAKE CITY, UT
Past
July 20, 2011 - May 3, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SANDY, UT
Past
January 24, 2011 - May 3, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SANDY, UT
Past
November 24, 1998 - March 9, 2004
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
WEST DES MOINES, IA
Past
March 4, 1996 - October 27, 1997
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
WEST DES MOINES, IA
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(10/25/2025)
RR
California(3/10/2025)
RR
Colorado(11/14/2024)
RR
Georgia(11/14/2024)
RR
Idaho(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Mexico(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
IAR
Utah(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.
