PK
Phillip C. Kiriboon
LPL ENTERPRISE
WEST COVINA, CA 91791
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CRD#: 4004129
PK
Professional summary
Phillip Chartchai Kiriboon, who also goes by Chartchai Khiewboriboon, Phillip C. Kiriboon, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in West Covina, California.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Phillip has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chartchai Khiewboriboon | Phillip C. Kiriboon
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.
Phillip & Sunee Kiriboon Revocable Trust 2006~159 E. Benbow St., Covina, CA 91722~Family Trust~N~Trustee~06/09/2006~0 hrs/mo~0 trading hrs/mo NON SPONSORED HEALTH INSURANCES POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/26/2022 ADDRESS: 100 N Barranca Street, Suite 900R, West Covina CA 91791, United States DESCRIPTION: Provide clients with medical insurances ASSURANCE - HEALTH INSURANCE POSITION: Agent NATURE: Health Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/02/2021 ADDRESS: 100 N Barranca Street, Suite 900R, West Covina CA 91791, United States DESCRIPTION: Sell Health/Medicare Insurance
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Chartchai Kiriboon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Chartchai Kiriboon'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: 100 N Barranca St Suite 900r, West Covina, CA 91791RIA
BD
CRD#: 8733
WEST COVINA, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 100 N Barranca St Suite 900r, West Covina, CA 91791RIA
BD
CRD#: 8733
WEST COVINA, CA
Past
May 18, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
West Covina, CA
Past
May 16, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
West Covina, CA
Past
March 25, 2017 - June 13, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BREA, CA
Past
March 25, 2017 - June 13, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BREA, CA
Past
September 13, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BREA, CA
Past
September 8, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BREA, CA
Past
May 2, 2009 - August 30, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
TEMPLE CITY, CA
Past
May 2, 2009 - August 30, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
TEMPLE CITY, CA
Past
October 17, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
TEMPLE CITY, CA
Past
October 17, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
TEMPLE CITY, CA
Past
April 29, 2004 - October 18, 2006
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
DIAMOND BAR, CA
Past
April 16, 2003 - April 14, 2004
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
July 13, 2001 - April 8, 2003
GATEWAY INVESTMENT SERVICES, INC.
BD
CRD#: 31153
OAK PARK, IL
Past
October 19, 1999 - July 10, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, 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".
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
California(11/14/2024)
IAR
California(11/14/2024)
RR
Pennsylvania(5/8/2025)
RR
Texas(1/30/2025)
Exams
State Security Law Exam
State Security Law 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.
