Leonard D. Dewberry

LPL ENTERPRISE

Philadelphia, PA 19103

Some features on this profile are disabled

CRD#: 4372094

Professional summary

Leonard D Dewberry, who also goes by Leonard Dujuan Dewberry, Leonard Du Juan Dewberry, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Philadelphia, Pennsylvania.

Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Leonard has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leonard Dujuan Dewberry | Leonard Du Juan Dewberry

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) - RIA

Click below to view Leonard D Dewberry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Leonard D Dewberry'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

July 30, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 1735 Market St, Philadelphia, PA 19103

RIA

CRD#: 8733

Philadelphia, PA

Current

June 11, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 33 35th Street Suite A410, Brooklyn, NY 11232

RIA

CRD#: 8733

Brooklyn, NY

Past

January 5, 2023 - February 24, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

NEW YORK, NY

Past

January 4, 2023 - February 24, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

February 22, 2022 - November 29, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MERRIMACK, NH

Past

January 7, 2022 - November 25, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

September 22, 2016 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

PHILADELPHIA, PA

Past

September 22, 2014 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

PHILADELPHIA, PA

Past

January 9, 2013 - April 16, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

January 9, 2013 - April 16, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 9, 2012 - March 1, 2012

WADDELL & REED

RIA

CRD#: 866

SOUTHLAKE, TX

Past

February 8, 2012 - March 1, 2012

WADDELL & REED

CRD#: 866

SOUTHLAKE, TX

Past

August 14, 2007 - February 28, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

JERSEY CITY, NJ

Past

August 14, 2007 - February 28, 2008

TD AMERITRADE, INC.

CRD#: 7870

JERSEY CITY, NJ

Past

April 13, 2006 - July 31, 2007

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671

JERSEY CITY, NJ

Past

October 15, 2003 - April 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

May 16, 2002 - April 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

May 2, 2001 - May 7, 2002

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

New York
(7/30/2025)

New York
(7/31/2025)

Oklahoma
(7/30/2025)

Pennsylvania
(7/30/2025)

IAR

Pennsylvania
(7/30/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/15/2001

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: 2/7/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/6/2009

National Commodity Futures 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
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

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Delray Beach, FL

Robert Boland

RBC CAPITAL MARKETS, LLC

IAR

Malvern, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leonard D. Dewberry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard D Dewberry's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Leonard D Dewberry's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WADDELL & REED

WADDELL & REED

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PERSHING ADVISOR SOLUTIONS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2025

Series 63

Date: 5/15/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2012

Series 3

Date: 8/6/2009

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

Similar Advisors