Alix Charlemagne

LPL ENTERPRISE

Miami, FL 33126

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CRD#: 4271364

Professional summary

Alix Charlemagne, who also goes by Alix J Charlemagne, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Miami, Florida.

Alix is registered as a RR (Registered Representative) and started their career in finance in 2005. Alix has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alix J Charlemagne

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alix Charlemagne'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®

None

Experience

Current

January 8, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Past

September 23, 2022 - July 30, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

September 14, 2021 - December 20, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ASTORIA, NY

Past

September 13, 2021 - December 20, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ASTORIA, NY

Past

December 5, 2019 - July 30, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST HEMPSTEAD, NY

Past

December 4, 2019 - July 30, 2021

LPL FINANCIAL LLC

CRD#: 6413

WEST HEMPSTEAD, NY

Past

February 1, 2018 - November 15, 2019

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

MELVILLE, NY

Past

November 30, 2017 - November 15, 2019

SANTANDER SECURITIES LLC

CRD#: 41791

MELVILLE, NY

Past

February 4, 2014 - November 22, 2017

LPL FINANCIAL LLC

CRD#: 6413

FLUSHING, NY

Past

October 2, 2013 - January 7, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

ELMONT, NY

Past

March 16, 2012 - September 24, 2013

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

ROOSEVELT, NY

Past

March 15, 2012 - September 24, 2013

INVEST FINANCIAL CORPORATION

CRD#: 12984

ROOSEVELT, NY

Past

December 17, 2010 - March 14, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SELDEN, NY

Past

December 13, 2010 - March 14, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SELDEN, NY

Past

May 27, 2008 - December 14, 2010

LPL FINANCIAL LLC

CRD#: 6413

GLEN COVE, NY

Past

July 19, 2007 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

BROOKLYN, NY

Past

December 1, 2005 - April 28, 2006

APEX CLEARING CORPORATION

CRD#: 13071

NEW YORK, 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".

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.

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
(1/8/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/30/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2005

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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Alix Charlemagne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alix Charlemagne's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

APEX CLEARING CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2018

Series 63

Date: 12/30/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2005

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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