Kyle J. Woodward

LPL ENTERPRISE

White Plains, NY 10601

Some features on this profile are disabled

CRD#: 3041418

Professional summary

Kyle John Woodward is a registered financial advisor currently at LPL ENTERPRISE, LLC located in White Plains, New York.

Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kyle has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 51 and Series 24 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) 10/03/2024- Westchester/Putnam County NY Ducks Unlimited- Non-Profit Board Member- Organize Local fund raisers, host chapter meetings, promote attendance, raise money for non-profit organization.- Not INV Related- At Shelton Oaks, CA- Start date 08/12/2006- 2 HRS MTH - 0 HRS During Trading 2) 10/29/2024- Ducks Unlimited- Non-profit volunteer (not on board)- organize fundraisers, sell tickets, participate in conservation events- Not INV Related- At Shelton Oaks, CA- Start date 08/01/2000- 3 HRS MTH- 0 HRS During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kyle John Woodward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kyle John Woodward'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601Office #2: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

White Plains, NY

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601Office #2: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

White Plains, NY

Past

March 4, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

March 27, 2013 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

January 26, 2011 - April 2, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

ELMSFORD, NY

Past

October 28, 2010 - April 2, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

Past

July 17, 2009 - November 2, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

GREENWICH, CT

Past

July 17, 2009 - November 2, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

GREENWICH, CT

Past

November 4, 2004 - July 16, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HARRISON, NY

Past

August 24, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 24, 1998 - July 16, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HARRISON, 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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(11/14/2024)

Arkansas
(11/14/2024)

IAR

Arkansas
(11/14/2024)

California
(11/14/2024)

Colorado
(1/16/2025)

Connecticut
(11/14/2024)

IAR

Connecticut
(11/14/2024)

District of Columbia
(11/14/2024)

Florida
(11/15/2024)

Georgia
(11/14/2024)

Illinois
(11/14/2024)

Indiana
(11/14/2024)

Kansas
(11/14/2024)

Kentucky
(11/14/2024)

Louisiana
(11/14/2024)

Maine
(11/14/2024)

Maryland
(11/14/2024)

Massachusetts
(11/14/2024)

Michigan
(11/14/2024)

Minnesota
(11/14/2024)

Mississippi
(11/14/2024)

Missouri
(11/14/2024)

Montana
(11/14/2024)

Nevada
(11/14/2024)

New Hampshire
(11/14/2024)

New Jersey
(11/14/2024)

New Mexico
(11/14/2024)

New York
(11/14/2024)

IAR

New York
(11/14/2024)

North Carolina
(11/14/2024)

Ohio
(11/14/2024)

Oregon
(11/14/2024)

Pennsylvania
(11/14/2024)

Rhode Island
(11/14/2024)

South Carolina
(11/14/2024)

South Dakota
(11/14/2024)

Tennessee
(11/14/2024)

Texas
(11/14/2024)

Utah
(11/14/2024)

Vermont
(11/14/2024)

Virginia
(11/14/2024)

Washington
(11/14/2024)

West Virginia
(11/14/2024)

Wisconsin
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/23/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 9/28/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/2004

General Securities Principal 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)

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)

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
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

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kyle J. Woodward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kyle John Woodward's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kyle John Woodward's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2004

Series 63

Date: 8/14/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/22/1998

Series 4

Date: 10/23/2006

Series 51

Date: 9/28/2004

Series 24

Date: 2/23/2004

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

Similar Advisors