Paul A. Finocchiaro

LPL ENTERPRISE

TAMPA, FL 33607

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CRD#: 4201809

Professional summary

Paul Anthony Finocchiaro, CFP® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Tampa, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE 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. 08/15/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Crystal River, FL - Start Date 08/15/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 08/15/2025 - PAUL FINOCCHIARO N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Crystal River, FL - Start Date 08/15/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Finocchiaro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Paul Anthony Finocchiaro'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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

October 30, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607

RIA

CRD#: 8733

TAMPA, FL

Current

September 29, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607

RIA

CRD#: 8733

TAMPA, FL

Past

April 5, 2024 - January 2, 2025

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

Bradenton, FL

Past

May 24, 2022 - September 28, 2023

SOUTHSHORE FINANCIAL PLANNING

RIA

CRD#: 311328

TAMPA, FL

Past

August 21, 2012 - April 6, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

TAMPA, FL

Past

August 10, 2012 - April 6, 2016

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

TAMPA, FL

Past

October 16, 2008 - August 21, 2012

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

September 26, 2008 - August 21, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

August 10, 2007 - February 20, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 15, 2004 - September 11, 2006

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

September 15, 2004 - September 11, 2006

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

March 11, 2003 - August 31, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

COLUMBIA, SC

Past

March 11, 2003 - August 31, 2004

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

July 6, 2000 - November 14, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 6, 2000 - November 14, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(9/30/2025)

IAR

Florida
(10/30/2025)

Georgia
(10/27/2025)

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

Series 63

Date: 10/21/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/29/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/14/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/5/2000

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

Paul A. Finocchiaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Finocchiaro's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Paul Anthony Finocchiaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PROSPERITY CAPITAL ADVISORS

SOUTHSHORE FINANCIAL PLANNING

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MSI FINANCIAL SERVICES, INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2025

Series 66

Date: 10/14/2008

Series 7TO

Date: 9/29/2025

SIE

Date: 8/14/2025

Series 7

Date: 7/5/2000

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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