FR
Frank D. Ruscetti
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CRD#: 407347
FR
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.
Frank David Ruscetti was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 000, Series 53, Series 24, Series 27, Series 4 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Marshall Ruscetti Foundation. President. Family Charitable Foundation. 3 hours/month. no compensation received.
2) FRANK RUSCETTI & ASSOCIATES. BOOKKEEPING. SINCE 1992 5 HRS/WEEK. 0 HRS/TRADING DAY
3) MARSHALL HENRY & COMPANY LLC. PRIVATE INVESTMENT COMPANY. MANAGING MEMBER. INVESTMENT RELATED. APPROXIMATELY 1 HR PER MONTH/0 DURING TRADING HURS.
4) SPRINGHOUSE INVESTMENTS LLC. PARTIAL OWNERSHIP ROLE IN OFFICE CONDOMINIUM WHICH IS LEASED TO HARVEST FINANCIAL CORPORATION MAIN OFFICE. NO COMPENSATION. <1 HOUR PER MONTH, 0 HOURS DURING TRADING.
5) HF Management Co., General Partner, Investment selection; 5 hours per month/1 hour during trading hours per month
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 29, 2016 - April 7, 2023
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
PITTSBURGH, PA
Past
January 3, 1995 - July 15, 2016
DIBIASE & RUSCETTI ASSOCIATES, INC.
RIA
CRD#: 121786
PITTSBURGH, PA
Past
February 10, 1984 - April 13, 2023
LPL ENTERPRISE, LLC
BD
CRD#: 8733
PITTSBURGH, PA
Past
December 2, 1983 - February 3, 1984
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
Past
April 22, 1981 - December 2, 1983
R.C. TOWNE, INC.
BD
CRD#: 7611
Past
June 28, 1972 - May 14, 1981
BABBITT, MYERS & COMPANY, INC.
BD
CRD#: 63
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/19/1972
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 1/9/1972
General Securities Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 3/27/1978
Registered Principal ExaminationCurrent 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.
