Luis D. Negron

LPL ENTERPRISE

Miami, FL 33126

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CRD#: 2758900

Professional summary

Luis Daniel Negron is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Luis has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Daniel Negron's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Luis Daniel Negron'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

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Past

September 14, 2020 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

September 11, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

June 18, 2019 - September 10, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIAMI, FL

Past

April 15, 2019 - September 10, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MIAMI, FL

Past

October 1, 2012 - April 5, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MIAMI, FL

Past

October 1, 2012 - April 5, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

MIAMI, FL

Past

December 7, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BRENTWOOD, NY

Past

December 7, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BRENTWOOD, NY

Past

May 29, 2007 - December 17, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

JACKSON HEIGHTS, NY

Past

May 29, 2007 - December 17, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

JACKSON HEIGHTS, NY

Past

October 31, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

JACKSON HEIGHTS, NY

Past

September 27, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

JACKSON HEIGHTS, NY

Past

October 20, 2004 - September 12, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MELVILLE, NY

Past

October 20, 2004 - September 12, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MELVILLE, NY

Past

July 8, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

HAUPPAUGE, NY

Past

May 22, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

January 11, 2001 - May 22, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 30, 1999 - January 8, 2001

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

April 2, 1999 - October 6, 1999

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

November 13, 1997 - March 26, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

April 3, 1997 - September 30, 1997

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730

BOCA RATON, FL

Past

February 5, 1997 - May 9, 1997

THE HAMILTON-SHEA GROUP, INC.

CRD#: 37526

POMPANO BEACH, FL

Past

October 9, 1996 - December 18, 1996

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, 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.

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

Florida
(11/18/2024)

IAR

Florida
(11/18/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

Pennsylvania
(3/11/2025)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/1996

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: 10/8/1996

General Securities 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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Advisor Monitoring

Firm Stability Insights

Luis D. Negron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Daniel Negron's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Luis Daniel Negron's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

CITICORP INVESTMENT SERVICES

KIRLIN SECURITIES INC.

JOSEPHTHAL & CO., INC.

LADENBURG THALMANN & CO. INC.

D.L. CROMWELL INVESTMENTS, INC.

THE HAMILTON-SHEA GROUP, INC.

STRATTON OAKMONT INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2004

Series 63

Date: 10/17/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1996

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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