Joshua E. Vore
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.
Joshua Emerson Vore, who also goes by Josh Vore, Joshua E Vore, Joshua Vore, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2025 - August 28, 2025
LPL ENTERPRISE, LLC
March 10, 2025 - August 28, 2025
LPL ENTERPRISE, LLC
June 12, 2023 - September 13, 2024
KESTRA INVESTMENT SERVICES, LLC
October 13, 2022 - May 31, 2023
GREAT POINT CAPITAL LLC
May 6, 2016 - September 30, 2022
GAR WOOD SECURITIES, LLC
September 9, 2015 - September 6, 2016
TRANSCEND CAPITAL
March 20, 2012 - December 6, 2013
GREAT POINT CAPITAL LLC
November 14, 2011 - April 4, 2012
CHARLES SCHWAB & CO., INC.
November 14, 2011 - April 4, 2012
CHARLES SCHWAB & CO., INC.
October 18, 2010 - October 11, 2011
EDWARD JONES
October 4, 2010 - October 11, 2011
EDWARD JONES
July 16, 2010 - October 8, 2010
GREAT POINT CAPITAL LLC
July 20, 2007 - July 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
October 3, 2003 - July 26, 2007
KERSHNER TRADING GROUP, LLC
March 11, 2003 - April 14, 2003
SUNAMERICA SECURITIES, INC.
April 29, 2000 - November 8, 2002
WELLS FARGO SECURITIES, LLC
June 9, 1999 - April 29, 2000
BLACK & COMPANY, INC.
March 11, 1999 - April 6, 1999
PHILLIPS & COMPANY
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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.
