SB
Sheldon M. Brubaker
LPL ENTERPRISE
EPHRATA, PA 17522
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CRD#: 2926273
SB
Professional summary
Sheldon Mark Brubaker is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Ephrata, Pennsylvania.
Sheldon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Sheldon has worked at 4 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.
Boy Scouts of America - Troop 115~80 Gockley Road, Stevens, PA 17578~Volunteer youth organization~N~Scoutmaster - unpaid position~11/2003~40 hrs/mo~0 trading hrs/mo|pacific Life Ins Co Va BOWMANSVILLE MENNONITE CHURCH POSITION: Deacon of Finances NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2017 ADDRESS: 129 Pleasant Valley Rd, East Earl PA 17519, United States DESCRIPTION: Deacon of Finances Administration of church finances is a sacred trust. The Deacon of Finances (5 year term) is called through a congregational discernment process, led by the district bishop. He is a credentialed member of the pastoral team of the Bowmansville Mennonite Church, and will meet regularly with them. He is expected to participate in district leadership team meetings and leadership meetings called by Lancaster Mennonite Conference. He may also be asked to serve on committees that administer Bowmansville/Reading District funds. He will oversee the Stewardship Commission, with assistance from the commission coordinator. His responsibilities will include: Providing general oversight for all church financial matters, ensuring that proper accounting practices and procedures are followed. (familiarity with Excel and QuickBooks helpful)Administering Stewardship Commission Funds (Trustee, Church Payroll, Ministerial, Leadership Training, Visiting Minister, Christian Education Sharing, Brotherhood, Long Range Capital Needs, Cemetery, Bishop Support, Pastor's Sabbatical, and Reserve)Administering Pastor Expense Accounts Presenting commission budgets, and pastor salary proposals at Fall Member's meeting Preparing annual offering schedule Being a resource for members experiencing special financial needs Being a resource for those raising funds for short term mission assignments Serving as a member of the Finance Committee Assisting with pastoral functions, as needed. Oversee the Stewardship Commission, which includes the following: Financial Administrators Church Treasurer Deacon Advisors Church Property Administrators Cemetery Trustees Church Trustees Custodians Finance Committee Approved by church council 6-6-17
CRS (Client Relationship Summary) - RIA
Click below to view Sheldon Mark Brubaker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheldon Mark Brubaker'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: 123 E Main Street, Ephrata, PA 17522RIA
BD
CRD#: 8733
EPHRATA, PA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 123 E Main Street, Ephrata, PA 17522RIA
BD
CRD#: 8733
EPHRATA, PA
Past
September 6, 2011 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
EPHRATA, PA
Past
June 28, 2010 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
EPHRATA, PA
Past
November 12, 2002 - June 11, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LANCASTER, PA
Past
August 26, 1997 - November 12, 2002
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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
Florida(1/21/2025)
RR
Louisiana(1/2/2025)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/14/2024)
RR
West Virginia(4/3/2025)
RR
Wisconsin(4/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 8733Ephrata, PA 17522TRUST BUT VERIFY
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