Anthony Lubrano

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CRD#: 2749237

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anthony Lubrano was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1998. Anthony had worked at 14 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 14, 2024 - August 11, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

EAST BRUNSWICK, NJ

Past

November 14, 2024 - August 11, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

EAST BRUNSWICK, NJ

Past

June 4, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EAST BRUNSWICK, NJ

Past

June 4, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

EAST BRUNSWICK, NJ

Past

April 23, 2020 - August 17, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

April 23, 2020 - August 17, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 7, 2019 - March 16, 2020

JOSEPH GUNNAR & CO. LLC

RIA

CRD#: 24795

UNIONDALE, NY

Past

June 15, 2018 - March 16, 2020

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

August 13, 2012 - July 12, 2018

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 8, 2007 - August 10, 2012

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

June 30, 2005 - January 4, 2007

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

RED BANK, NJ

Past

July 6, 2004 - May 31, 2005

BERGEN CAPITAL, INC.

CRD#: 46348

HASBROUCK HEIGHTS, NJ

Past

September 9, 2003 - July 16, 2004

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

March 20, 2002 - June 7, 2002

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

June 5, 2001 - March 5, 2002

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

September 21, 1999 - June 4, 2001

R.M. STARK & CO., INC.

CRD#: 7612

LAKE WORTH BEACH, FL

Past

June 23, 1999 - October 12, 1999

EWEALTH SECURITIES, INC.

CRD#: 25589

WHITE PLAINS, NY

Past

December 1, 1998 - April 28, 1999

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

September 14, 1998 - December 8, 1998

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

July 28, 1998 - August 31, 1998

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 10/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/18/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/10/1998

General Securities Representative Examination

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Anthony Lubrano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JOSEPH GUNNAR & CO. LLC

JOSEPH GUNNAR & CO. LLC

AEGIS CAPITAL CORP.

JOSEPH GUNNAR & CO. LLC

NEWBRIDGE SECURITIES CORPORATION

BERGEN CAPITAL, INC.

GMS GROUP

WORLDCO, L.L.C.

WORLDCO, L.L.C.

R.M. STARK & CO., INC.

EWEALTH SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

BARRON CHASE SECURITIES, INC.

LADENBURG CAPITAL MANAGEMENT INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2019

Series 63

Date: 7/23/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/18/2001

Series 7

Date: 7/10/1998

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

Contact information

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