JC
John R. Carpani
LPL ENTERPRISE
Fort Washington, PA 19034
Some features on this profile are disabled
CRD#: 3101507
JC
Professional summary
John Russell Carpani IV, who also goes by John Russell Carpani, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Fort Washington, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Russell Carpani
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 John Russell Carpani IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Russell Carpani IV'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: 500 Office Center Drive Suite 400 - Office 4049, Fort Washington, PA 19034RIA
BD
CRD#: 8733
Fort Washington, PA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 500 Office Center Drive Suite 400 - Office 4049, Fort Washington, PA 19034RIA
BD
CRD#: 8733
Fort Washington, PA
Past
October 29, 2015 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Fort Washington, PA
Past
September 30, 2015 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Fort Washington, PA
Past
May 16, 2014 - September 17, 2014
OSAIC FA, INC.
RIA
CRD#: 3978
CHERRY HILL, NJ
Past
May 7, 2014 - September 17, 2014
OSAIC FA, INC.
BD
CRD#: 3978
CHERRY HILL, NJ
Past
June 12, 2012 - July 23, 2012
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
June 12, 2012 - July 23, 2012
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
RICHMOND, VA
Past
September 29, 2010 - May 17, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
KING OF PRUSSIA, PA
Past
September 28, 2010 - May 17, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
KING OF PRUSSIA, PA
Past
October 3, 2007 - September 20, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LANSDALE, PA
Past
October 3, 2007 - September 20, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LANSDALE, PA
Past
January 31, 2007 - September 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYNE, PA
Past
January 31, 2007 - September 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYNE, PA
Past
November 1, 2005 - July 19, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PHILADELPHIA, PA
Past
September 30, 2005 - July 19, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PHILADELPHIA, PA
Past
August 7, 2001 - October 31, 2002
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
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
Delaware(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(7/16/2025)
RR
Nevada(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Oregon(11/14/2024)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/14/2024)
RR
South Carolina(1/16/2025)
RR
South Dakota(12/17/2024)
RR
Virginia(8/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
