Brent R. Mccollin

LPL ENTERPRISE

BASKING RIDGE, NJ 07920

CRD#: 2877276

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Professional summary

Brent R Mccollin, who also goes by Brent Ruthven Mccollin, Brent Mccollin, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.

Brent is registered as a RR (Registered Representative) and started their career in finance in 1997. Brent has worked at 12 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brent Ruthven Mccollin | Brent Mccollin

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) - BD

Click below to view Brent R Mccollin'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

May 19, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920

RIA

CRD#: 8733

BASKING RIDGE, NJ

Past

November 29, 2010 - June 29, 2012

GARDEN STATE SECURITIES, INC.

CRD#: 10083

SCOTCH PLAINS, NJ

Past

August 8, 2008 - December 7, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWARK, NJ

Past

July 22, 2008 - December 7, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWARK, NJ

Past

March 6, 2008 - June 26, 2008

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ROCHELLE PARK, NJ

Past

May 29, 2007 - March 6, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BLOOMFIELD, NJ

Past

May 14, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

BLOOMFIELD, NJ

Past

August 3, 2004 - October 12, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WESTFIELD, NJ

Past

October 29, 1998 - August 9, 2004

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

July 31, 1998 - October 9, 1998

AIBC INVESTMENT SERVICES CORPORATION

CRD#: 16397

Past

May 5, 1998 - July 14, 1998

MAY, DAVIS GROUP INC.

CRD#: 35622

NEW YORK, NY

Past

March 23, 1998 - June 9, 1998

TARPON SCURRY INVESTMENTS, INC.

CRD#: 34635

NEW YORK, NY

Past

August 25, 1997 - March 2, 1998

WALSH MANNING SECURITIES, LLC

CRD#: 30826

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

Series 63

Date: 1/27/2026

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/6/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/19/2026

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/29/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/1997

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)

PREMIUM

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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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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

Brent R. Mccollin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brent R Mccollin's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANCNORTH INVESTMENT GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CHASE INVESTMENT SERVICES CORP.

TD AMERITRADE, INC.

AIBC INVESTMENT SERVICES CORPORATION

MAY, DAVIS GROUP INC.

TARPON SCURRY INVESTMENTS, INC.

WALSH MANNING SECURITIES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2026

Series 66

Date: 8/6/2008

Series 7TO

Date: 5/19/2026

SIE

Date: 12/29/2025

Series 7

Date: 8/22/1997

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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