MB
Mark L. Bobruff
LPL ENTERPRISE
SHELTON, CT 06484
Some features on this profile are disabled
CRD#: 4365757
MB
Professional summary
Mark Lehman Bobruff, who also goes by Mark Bobruff, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 15 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Bobruff
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) 02/28/2025-Mark Bobruff TTEE Jeremy M Bobruff Trust-Act in a Fiduciary Capacity-Not Inv related- At Glastonbury, CT-Start date 01/26/2006 -0hrs/mth-0hrs/mth during trading 2) 02/28/2025-Mark Bobruff TTEE Zoe Alyssa Bobruff Trust U/A DTD 01/26/2006-Act in a Fiduciary Capacity-Not Inv related-At Glastonbury, CT-Start date 01/26/2006-0hrs/mth-0hrs/mth during t 3) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lehman Bobruff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Lehman Bobruff'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: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Past
April 29, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Glastonbury, CT
Past
March 31, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Glastonbury, CT
Past
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
NEW HAVEN, CT
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
NEW HAVEN, CT
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
NEW HAVEN, CT
Past
January 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
September 2, 2015 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
NEW HAVEN, CT
Past
May 3, 2012 - September 1, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SHELTON, CT
Past
March 22, 2012 - September 1, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SHELTON, CT
Past
September 8, 2011 - March 23, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
FARMINGTON, CT
Past
September 8, 2011 - March 23, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
FARMINGTON, CT
Past
June 5, 2008 - July 26, 2011
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
HARTFORD, CT
Past
June 5, 2008 - July 26, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
HARTFORD, CT
Past
May 11, 2006 - May 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WALLINGFORD, CT
Past
May 11, 2006 - May 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WALLINGFORD, CT
Past
January 19, 2005 - May 5, 2006
NEWALLIANCE INVESTMENTS, INC.
RIA
CRD#: 126880
NORTH HAVEN, CT
Past
January 28, 2004 - May 5, 2006
NEWALLIANCE INVESTMENTS, INC.
BD
CRD#: 126880
NEW HAVEN, CT
Past
February 10, 2003 - January 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
NEW HAVEN, CT
Past
January 17, 2003 - January 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
July 11, 2001 - January 29, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HARTFORD, CT
Past
May 7, 2001 - January 29, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
California(11/14/2024)
RR
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
New York(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 8733Shelton, CT 06484TRUST BUT VERIFY
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