Dhurgham N. Ghazool
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dhurgham Najwat Ghazool, who also goes by Dhurgham Ghazool, Rob Ghazool, Robert Ghazool, was a registered financial professional .
Dhurgham is a previously registered financial professional and started their career in finance in 1998. Dhurgham had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - February 17, 2026
LPL ENTERPRISE, LLC
November 14, 2024 - February 17, 2026
LPL ENTERPRISE, LLC
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
March 5, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
August 26, 2016 - February 15, 2018
CETERA WEALTH SERVICES, LLC
October 7, 2013 - December 21, 2015
LEGEND EQUITIES CORPORATION
March 1, 2011 - January 9, 2013
NYLIFE SECURITIES LLC
September 22, 2009 - November 5, 2010
INVEST FINANCIAL CORPORATION
June 13, 2007 - September 22, 2009
MML INVESTORS SERVICES, LLC
April 16, 2004 - June 15, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 2004 - June 15, 2007
MSI FINANCIAL SERVICES, INC.
July 18, 2003 - September 30, 2003
BNY MELLON SECURITIES CORPORATION
February 6, 2003 - August 14, 2003
EQUITABLE ADVISORS, LLC
April 27, 2001 - August 14, 2003
EQUITABLE ADVISORS, LLC
November 9, 1998 - March 16, 2001
LADENBURG CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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.
