GC
Gary R. Conley
LPL ENTERPRISE
Bloomington, IL 61704
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CRD#: 4246284
GC
Professional summary
Gary Robert Conley is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Bloomington, Illinois.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gary has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
EMRICK INSURANCE AGENCY POSITION: independent contractor to sell med sup products NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/30/2019 ADDRESS: 802 purple martin blvd E, Griggsville IL 62340, United States DESCRIPTION: soliciting for med sup business SENIOR MARKET SALES POSITION: Sales rep NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/21/2020 ADDRESS: 8420 w dodge rd ste 510, Omaha NE 68114, United States DESCRIPTION: sales rep for medicare supplement plans CORNERSTONE FINANCIAL SERVICES POSITION: Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/14/2022 ADDRESS: 2001 W Monroe suite 200, Springfield IL 62704, United States DESCRIPTION: Sales & Service of Insurance and Investments UBER POSITION: driver NATURE: Transportation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 3703 rave rd, bloomington IL 61704, United States DESCRIPTION: driving customers
CRS (Client Relationship Summary) - RIA
Click below to view Gary Robert Conley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Robert Conley'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: 2404 E Empire St Suite 104, Bloomington, IL 61704RIA
BD
CRD#: 8733
Bloomington, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2404 E Empire St Suite 104, Bloomington, IL 61704RIA
BD
CRD#: 8733
Bloomington, IL
Past
December 5, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Bloomington, IL
Past
November 14, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Bloomington, IL
Past
June 3, 2011 - November 6, 2018
COMMERCE BROKERAGE SERVICES, INC.
RIA
CRD#: 17140
BLOOMINGTON, IL
Past
March 20, 2006 - November 6, 2018
COMMERCE BROKERAGE SERVICES, INC.
BD
CRD#: 17140
BLOOMINGTON, IL
Past
July 6, 2005 - March 10, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PEORIA, IL
Past
January 30, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 28, 2003 - January 23, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
November 29, 2000 - August 9, 2002
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
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
Florida(1/2/2025)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
New Mexico(7/16/2025)
RR
Oklahoma(1/6/2025)
RR
Wisconsin(1/2/2025)
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.
