TL
Tony H. Law
LPL ENTERPRISE
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2959136
TL
Professional summary
Tony Hintung Law, CFP®, ChFC®, CLU® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.
Tony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tony has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 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.
1) 10/16/2024-Wealthship Group LLC- Non-Variable Insurance- To prospect, market, sell, and maintain client and broker relationships as it relates to Health Insurance needs and Non-variable Group Benefits Solutions.- INV Related- At New York, NY- Start date 03/15/2021- 10 HRS MTH- 2 HRS During Trading 2) 09/23/2024- Numbers9 Financial LLC- Business Entity For Tax/Investment Purposes Only-Business entity for bookkeeping purposes and for employing Associate Producer.- INV Related- At New York, NY- Start date 03/07/2022- 10 HRS MTH- 0 HRS During Trading 3) 09/23/2024- Compass Fellowship Church- Non-Profit Board Member- Help plan church activities including outreach and ministry to members. Participate in senior discussions of church direction and strategy including financing and budget decisions.- INV Related- At New York, NY- Start date 01/01/2016- 10 HRS MTH- 0 HRS During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Tony Hintung Law's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tony Hintung Law'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®
CFP®
Start date: 2003
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747Office #3: 33 35th Street Suite A410, Brooklyn, NY 11232Office #4: 433 Broadway Suite 233, New York, NY 10013RIA
BD
CRD#: 8733
Melville, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747Office #2: 33 35th Street Suite A410, Brooklyn, NY 11232Office #3: 433 Broadway Suite 233, New York, NY 10013RIA
BD
CRD#: 8733
Melville, NY
Past
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
New York, NY
Past
August 20, 2001 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
New York, NY
Past
November 5, 1998 - August 6, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 4, 1998 - November 11, 1998
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
November 4, 1997 - March 10, 1998
TAGLICH BROTHERS, INC.
BD
CRD#: 29102
COLD SPRING HARBOR, 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".
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
California(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Hawaii(1/2/2025)
RR
Maryland(1/6/2025)
RR
Massachusetts(1/6/2025)
RR
Nevada(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(1/6/2025)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Vermont(11/14/2024)
RR
Virginia(4/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
