Robert A. Plowman

LPL ENTERPRISE

Phoenix, AZ 85016

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CRD#: 2805539

Professional summary

Robert A. Plowman, who also goes by Bob Plowman, Robert A Plowman, Bob Plowman Sr, Bob Plowman, Robert Alan Plowman, Robert Plowman, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Phoenix, Arizona.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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. 07/30/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Tempe, AZ - Start Date 07/25/2025 - 160hrs/MTH 160hrs/MTH During Trading 2. 07/30/2025 - Robert Plowman - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Tempe, AZ - Start Date 07/25/2025 - 160hrs/MTH 160hrs/MTH During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert A. Plowman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert A. Plowman'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

August 5, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016

RIA

CRD#: 8733

Phoenix, AZ

Current

August 4, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016

RIA

CRD#: 8733

Phoenix, AZ

Past

December 1, 2022 - April 8, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Tempe, AZ

Past

August 24, 2022 - April 8, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Tempe, AZ

Past

December 24, 2018 - July 19, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

December 24, 2018 - July 19, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Past

July 3, 2017 - October 10, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MESA, AZ

Past

June 26, 2017 - October 10, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MESA, AZ

Past

November 28, 2014 - August 27, 2015

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

November 14, 2014 - August 27, 2015

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

August 28, 2012 - July 3, 2014

EDWARD JONES

RIA

CRD#: 250

GILBERT, AZ

Past

June 5, 2012 - July 3, 2014

EDWARD JONES

CRD#: 250

GILBERT, AZ

Past

February 15, 2012 - May 3, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Past

November 2, 2007 - March 5, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

Past

August 30, 2005 - August 14, 2007

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504

NEW YORK, NY

Past

November 6, 1996 - August 6, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, 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

Arizona
(8/5/2025)

IAR

Arizona
(8/5/2025)

California
(8/5/2025)

Idaho
(8/5/2025)

Nevada
(10/23/2025)

Pennsylvania
(8/5/2025)

Utah
(8/5/2025)

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 66

Date: 6/15/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/31/2005

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: 2/14/2012

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

Robert A. Plowman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert A. Plowman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert A. Plowman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

FIRST CITIZENS CAPITAL SECURITIES, LLC

CITICORP SECURITIES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2012

Series 63

Date: 8/31/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2012

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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