Maurice O. Lounds
LPL ENTERPRISE
Crown Point, IN 46307
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CRD#: 4326767
Professional summary
Maurice Oliver Lounds, AIF®, CFP®, who also goes by Maurice, Cfp Oliver Lounds, Lounds, Maurice Oliver Lounds, Cfp, Maurice Oliver Lounds, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Crown Point, Indiana.
Maurice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Maurice has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maurice, Cfp Oliver Lounds | Lounds | Maurice Oliver Lounds, Cfp | Maurice Oliver Lounds
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) 11/19/2024 - Lounds Financial Services LLC - Office for clients to meet - DBA for LPL Business (entity for LPL business) - Inv Related - At Crown Point, IN - Start Date 06/01/2022 - 150hrs/mth - 100hrs/mth During Trading 2) 11/18/2024 - IUN - Teach Math - Teacher Paid by School or University - Non Inv Related - At Crown Point, IN - Start Date 01/01/2018 - 10hrs/mth - 10hrs/mth During Trading 3) 11/18/2024 - IVYTECH Community College - Teach Math courses - Teacher Paid by School or University - Non Inv Related - At Crown Point, IN - Start Date 01/01/2010 - 12hrs/mth - 0hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Maurice Oliver Lounds's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maurice Oliver Lounds'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®
CFP®
Start date: 2018
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 9800 Connecticut Dr, Crown Point, IN 46307RIA
BD
CRD#: 8733
Crown Point, IN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 9800 Connecticut Dr, Crown Point, IN 46307RIA
BD
CRD#: 8733
Crown Point, IN
Past
August 31, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Crown Point, IN
Past
August 17, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Crown Point, IN
Past
March 29, 2018 - August 12, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CROWN POINT, IN
Past
October 18, 2016 - April 5, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Schererville, IN
Past
October 17, 2016 - August 12, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
CROWN POINT, IN
Past
October 1, 2012 - September 30, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
MERRILLVILLE, IN
Past
October 1, 2012 - September 30, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MERRILLVILLE, IN
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MERRILLVILLE, IN
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MERRILLVILLE, IN
Past
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
MERRILLVILLE, IN
Past
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
November 29, 2001 - September 24, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 29, 2001 - September 24, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 19, 2001 - November 12, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 19, 2001 - November 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 13, 2001 - September 4, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
IAR
Indiana(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Crown Point, IN 46307TRUST BUT VERIFY
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