SC
Steven Chabra
LPL ENTERPRISE
Melville, NY 11747
Some features on this profile are disabled
CRD#: 4053949
SC
Professional summary
Steven Chabra is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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) 06/10/2025-Steven Chabra-Financial Professional-Non-Variable Insurance/Insurance Agency-Inv related-At Huntington, NY-Start date 06/10/2025-160hrs/mth-160hrs/mth during trading 2) 06/10/2025-Prudential Advisors-Financial Professional-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 06/10/2025-160hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Steven Chabra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Chabra'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
June 18, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Current
June 18, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Past
December 1, 2021 - November 29, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
HUNTINGTON, NY
Past
November 5, 2021 - November 29, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
May 7, 2021 - September 25, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
GREENLAWN, NY
Past
April 8, 2021 - September 25, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
GREENLAWN, NY
Past
July 15, 2020 - March 5, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Deer Park, NY
Past
July 10, 2020 - March 5, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Deer Park, NY
Past
June 14, 2018 - November 12, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MELVILLE, NY
Past
June 7, 2018 - November 12, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MELVILLE, NY
Past
December 22, 2016 - March 23, 2018
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Tampa, FL
Past
December 14, 2016 - March 23, 2018
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
Tampa, FL
Past
June 27, 2011 - January 12, 2015
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 27, 2011 - January 12, 2015
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 13, 2005 - July 8, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
March 17, 2004 - July 8, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
November 13, 2002 - March 11, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 13, 2002 - March 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 29, 2002 - September 20, 2002
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
February 14, 2000 - April 5, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
New York(6/18/2025)
IAR
New York(6/18/2025)
Exams
State Security Law Exam
State Security Law 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.
