MK
Matthew Knoblauch
LPL ENTERPRISE
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 3019487
MK
Professional summary
Matthew Knoblauch, who also goes by Matt Knoblauch, Matthew Aaron Knoblauch, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Indianapolis, Indiana.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Knoblauch | Matthew Aaron Knoblauch
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) 11/27/2024- Matthew Knoblauch, LLC- Business Entity For Tax/Investment Purposes Only- LLC is used for Tax Purposes tied to Prudentail Advisors/ PRUCO Securities business. Is NOT a DBA- INV Related- At Fishers, IN- Start date 01/01/2023- 180 HRS MTH- 180 HRS During Trading 2) 09/23/2024- Sol Shades and Watches- Business Owner- Private Label & online retail sales of sunglasses and watches.- Not INV Related- At Fishers,IN- Start date 01/01/2023- 10 HRS MTH- 0 HRS During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Knoblauch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Knoblauch'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: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
BD
CRD#: 8733
Indianapolis, IN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
BD
CRD#: 8733
Indianapolis, IN
Past
October 28, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Fishers, IN
Past
September 20, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Fishers, IN
Past
September 6, 2019 - September 20, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
September 6, 2019 - September 20, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
Past
October 1, 2012 - September 17, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FISHERS, IN
Past
October 1, 2012 - September 17, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FISHERS, IN
Past
September 15, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FISHERS, IN
Past
September 15, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FISHERS, IN
Past
April 28, 2010 - September 29, 2011
M&I INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 109802
MILWAUKEE, WI
Past
December 5, 2008 - March 26, 2010
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
INDIANAPOLIS, IN
Past
December 5, 2008 - September 29, 2011
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
INDIANAPOLIS, IN
Past
July 8, 2005 - December 1, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
INDIANAPOLIS, IN
Past
July 6, 2005 - December 1, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
INDIANAPOLIS, IN
Past
May 17, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 1, 2003 - May 16, 2005
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
January 9, 2001 - April 21, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
June 19, 1998 - January 4, 1999
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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(11/15/2024)
RR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
IAR
Indiana(11/14/2024)
RR
Michigan(11/14/2024)
RR
Missouri(6/11/2025)
RR
Oregon(6/18/2025)
RR
Pennsylvania(6/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
