BB
Brian T. Bothe
LPL ENTERPRISE
BASKING RIDGE, NJ 07920
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CRD#: 2962893
BB
Professional summary
Brian Thomas Bothe, who also goes by Brian T Bothe, Brian Thomas Bothe, Brian Bothe, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian T Bothe | Brian Thomas Bothe | Brian Bothe
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Thomas Bothe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Thomas Bothe'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
December 6, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
December 6, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
September 19, 2022 - November 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SHORT HILLS, NJ
Past
September 6, 2022 - November 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SHORT HILLS, NJ
Past
September 27, 2019 - May 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FLORHAM PARK, NJ
Past
August 12, 2019 - May 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FLORHAM PARK, NJ
Past
May 11, 2004 - February 7, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 23, 2004 - May 10, 2004
CHEVY CHASE FINANCIAL SERVICES
RIA
CRD#: 14894
BETHESDA, MD
Past
January 23, 2004 - May 10, 2004
CHEVY CHASE FINANCIAL SERVICES
BD
CRD#: 14894
BETHESDA, MD
Past
September 4, 2001 - January 20, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MCLEAN, VA
Past
August 3, 2001 - January 20, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 10, 1997 - November 30, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
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
Arizona(12/6/2024)
RR
California(5/9/2025)
RR
Colorado(12/6/2024)
RR
Connecticut(12/6/2024)
RR
Delaware(12/6/2024)
RR
District of Columbia(12/6/2024)
RR
Florida(12/6/2024)
RR
Hawaii(12/6/2024)
RR
Indiana(12/6/2024)
RR
Kentucky(12/6/2024)
RR
Maine(12/6/2024)
RR
Maryland(12/6/2024)
RR
Massachusetts(12/6/2024)
RR
New Hampshire(12/6/2024)
RR
New Jersey(12/6/2024)
IAR
New Jersey(12/9/2024)
RR
New York(12/6/2024)
RR
North Carolina(12/6/2024)
RR
Ohio(12/6/2024)
RR
Oregon(12/6/2024)
RR
Pennsylvania(12/6/2024)
RR
Rhode Island(12/6/2024)
RR
South Carolina(12/6/2024)
RR
Texas(12/6/2024)
IAR
Texas(12/6/2024)
RR
Virginia(12/6/2024)
RR
Washington(12/6/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/12/2019
General Securities Representative ExaminationGeneral Industry/Product 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.
