CG
Corina A. Green
LPL ENTERPRISE
PLANO, TX 75024
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CRD#: 4253262
CG
Professional summary
Corina A Green, CFP®, who also goes by Corina A Cavazos, Corina Annette Cavazos, Corina Cavazos, Corina A. Cavazos, Corina A Green, Corina A. Green, Corina Annette Green, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.
Corina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Corina has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Corina A Cavazos | Corina Annette Cavazos | Corina Cavazos | Corina A. Cavazos | Corina A Green | Corina A. Green | Corina Annette Green
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Corina A Green's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Corina A Green'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®
Experience
Current
November 12, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024RIA
BD
CRD#: 8733
PLANO, TX
Current
November 13, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024RIA
BD
CRD#: 8733
PLANO, TX
Past
November 23, 2021 - June 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FORT WORTH, TX
Past
November 23, 2021 - June 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FORT WORTH, TX
Past
April 20, 2016 - June 7, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Plano, TX
Past
April 20, 2016 - June 7, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PLANO, TX
Past
January 4, 2011 - August 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
January 4, 2011 - August 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
October 23, 2009 - September 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
May 7, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ADDISON, TX
Past
January 28, 2005 - May 4, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
April 17, 2003 - January 11, 2005
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
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
Oklahoma(11/18/2025)
IAR
Texas(11/12/2025)
RR
Texas(11/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 4/15/2003
Assistant Representative-Order Processing Qualification ExamSRO 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Plano, TX 75024TRUST BUT VERIFY
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