Frank Mastrosimone

LPL ENTERPRISE

BASKING RIDGE, NJ 07920

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CRD#: 322615

Professional summary

Frank Mastrosimone is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Frank has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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) 09/20/2024- Weichert Realtors- Occasionally assisting my wife with her Real Estate transactions- Mortgage/Real Estate Services- INV Related- Basking Ridge, NJ- Start Date 02/10/2011- 4hrs/mth- 1hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Mastrosimone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Frank Mastrosimone'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: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920

RIA

CRD#: 8733

BASKING RIDGE, NJ

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920

RIA

CRD#: 8733

BASKING RIDGE, NJ

Past

February 5, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Basking Ridge, NJ

Past

January 15, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Basking Ridge, NJ

Past

September 16, 2005 - December 31, 2019

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WEST ORANGE, NJ

Past

January 20, 2004 - January 6, 2020

OSAIC WEALTH, INC.

CRD#: 23131

WEST ORANGE, NJ

Past

May 23, 1989 - January 16, 2004

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 5, 1986 - May 23, 1989

PENNSYLVANIA SECURITIES COMPANY

CRD#: 7667

Past

December 7, 1984 - February 20, 1986

GREENTREE SECURITIES CORP.

CRD#: 7372

Past

November 12, 1976 - April 5, 1979

B-R SECURITIES CORP.

CRD#: 1270

Past

April 14, 1975 - December 9, 1976

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

July 16, 1973 - December 27, 1974

MAYHILL AGENCY, LLC

CRD#: 6237

Past

March 8, 1971 - May 10, 1975

MAYFLOWER SECURITIES CO., INC.

CRD#: 562

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

Florida
(11/19/2024)

New Jersey
(11/14/2024)

IAR

New Jersey
(11/14/2024)

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: 5/27/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1985

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: 11/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/3/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2000

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)

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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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Firm Stability Insights

Frank Mastrosimone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Mastrosimone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frank Mastrosimone's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CETERA WEALTH SERVICES, LLC

PENNSYLVANIA SECURITIES COMPANY

GREENTREE SECURITIES CORP.

B-R SECURITIES CORP.

PHILIPS, APPEL & WALDEN, INC.

MAYHILL AGENCY, LLC

MAYFLOWER SECURITIES CO., INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2004

Series 63

Date: 7/29/1985

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1984

Series 1

Date: 3/3/1971

Series 24

Date: 7/24/2000

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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