SC
Sean J. Conti
LPL ENTERPRISE
PLANO, TX 75024
Some features on this profile are disabled
CRD#: 2758977
SC
Professional summary
Sean Joseph Conti, who also goes by Sean J Conti, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean J Conti
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) 10/16/2024 - 3266partners, LLC - LLC Created for investing and collecting of firearms - Business Entity for Tax/Investment Purposes Only - Non Inv Related - At Austin, TX - Start Date 08/01/2008 - 1hrs/mth - 0hrs/mth During Trading 2) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 3) 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 Sean Joseph Conti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Joseph Conti'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 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024RIA
BD
CRD#: 8733
PLANO, TX
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024RIA
BD
CRD#: 8733
PLANO, TX
Past
December 5, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Austin, TX
Past
December 5, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Austin, TX
Past
June 15, 2023 - November 10, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Austin, TX
Past
March 30, 2022 - September 26, 2023
CORE CAPITAL MANAGEMENT AND RESEARCH INC.
RIA
CRD#: 146285
HOUSTON, TX
Past
August 13, 2021 - December 8, 2021
CX INSTITUTIONAL, LLC
RIA
CRD#: 292627
Houston, TX
Past
July 8, 2016 - August 20, 2021
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
July 8, 2016 - August 20, 2021
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
March 25, 2014 - November 19, 2014
ALTERNA WEALTH MANAGEMENT, INC.
RIA
CRD#: 146153
HOUSTON, TX
Past
February 7, 2014 - November 19, 2014
ALTERNA SECURITIES, INC.
BD
CRD#: 41139
HOUSTON, TX
Past
August 26, 2013 - February 11, 2014
FISHER INVESTMENTS
RIA
CRD#: 107342
HOUSTON, TX
Past
August 1, 2007 - August 26, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SOUTHLAKE, TX
Past
July 6, 2001 - July 31, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SALT LAKE CITY, UT
Past
October 20, 1998 - August 27, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
HOUSTON, TX
Past
June 11, 1998 - July 10, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
August 5, 1996 - June 5, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 5, 1996 - June 5, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Missouri(3/5/2025)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Plano, TX 75024TRUST BUT VERIFY
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