Dhurgham N. Ghazool

LPL ENTERPRISE

Melville, NY 11747

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CRD#: 3139134

Professional summary

Dhurgham Najwat Ghazool, who also goes by Dhurgham Ghazool, Rob Ghazool, Robert Ghazool, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.

Dhurgham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dhurgham has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dhurgham Ghazool | Rob Ghazool | Robert Ghazool

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. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dhurgham Najwat Ghazool's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dhurgham Najwat Ghazool'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: 445 Broadhollow Road Suite 405, Melville, NY 11747

RIA

CRD#: 8733

Melville, NY

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747

RIA

CRD#: 8733

Melville, NY

Past

June 7, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Melville, NY

Past

March 5, 2018 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Melville, NY

Past

August 26, 2016 - February 15, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HICKSVILLE, NY

Past

October 7, 2013 - December 21, 2015

LEGEND EQUITIES CORPORATION

CRD#: 30999

Hicksville, NY

Past

March 1, 2011 - January 9, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

LAKE SUCCESS, NY

Past

September 22, 2009 - November 5, 2010

INVEST FINANCIAL CORPORATION

CRD#: 12984

AVENEL, NJ

Past

June 13, 2007 - September 22, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

SYOSSET, NY

Past

April 16, 2004 - June 15, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HAUPPAUGE, NY

Past

April 16, 2004 - June 15, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, NY

Past

July 18, 2003 - September 30, 2003

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

February 6, 2003 - August 14, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MELVILLE, NY

Past

April 27, 2001 - August 14, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 9, 1998 - March 16, 2001

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, 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
(5/7/2025)

Louisiana
(5/7/2025)

New York
(11/14/2024)

IAR

New York
(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 65

Date: 5/3/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1998

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: 11/6/1998

General Securities Representative 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Dhurgham N. Ghazool

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dhurgham Najwat Ghazool's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dhurgham Najwat Ghazool's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CETERA WEALTH SERVICES, LLC

LEGEND EQUITIES CORPORATION

NYLIFE SECURITIES LLC

INVEST FINANCIAL CORPORATION

MML INVESTORS SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

LADENBURG CAPITAL MANAGEMENT INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/2001

Series 63

Date: 11/19/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/6/1998

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

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