Mario C. Sclafani

LPL ENTERPRISE

SHELTON, CT 06484

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CRD#: 4374097

Professional summary

Mario Charles Sclafani, who also goes by Marc Charles, Mario Charles Sclafani II, Mario Charles Sclafani Ii, Mario Sclafani, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.

Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Mario has worked at 18 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Charles | Mario Charles Sclafani Ii | Mario Charles Sclafani Ii | Mario Sclafani

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.

ZONING BOARD FOR THE TOWN OF MILFORD - BOARD MEMBER POSITION: Board Member NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2023 ADDRESS: 10 Main Street, New Milford CT 06776, United States DESCRIPTION: Board Member - The Zoning Board ensures all parties abide by all rules and regulations set forth by the county for all residential and commercial properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Charles Sclafani's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mario Charles Sclafani'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

SHELTON, CT

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

SHELTON, CT

Past

December 20, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

December 8, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

July 19, 2022 - August 30, 2022

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

December 21, 2020 - October 27, 2021

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

January 9, 2017 - January 2, 2019

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

July 9, 2014 - December 23, 2016

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

November 15, 2013 - July 2, 2014

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NEW MILFORD, CT

Past

October 31, 2013 - November 11, 2013

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

ENGLEWOOD CLIFFS, NJ

Past

July 23, 2010 - October 2, 2013

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

November 24, 2009 - August 3, 2010

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

May 11, 2009 - November 16, 2009

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

January 11, 2008 - September 19, 2008

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

April 19, 2006 - July 25, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

NEW YORK, NY

Past

January 26, 2006 - February 24, 2006

GARDEN STATE SECURITIES, INC.

CRD#: 10083

NEW YORK, NY

Past

December 12, 2005 - December 16, 2005

MERCER CAPITAL LTD.

CRD#: 104012

NEW YORK, NY

Past

October 28, 2005 - December 19, 2005

ESSEX & YORK, INC.

CRD#: 118495

NEW YORK, NY

Past

September 28, 2005 - October 31, 2005

CARLTON CAPITAL INC.

CRD#: 42533

NEW YORK, NY

Past

August 17, 2005 - September 16, 2005

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

May 26, 2005 - August 12, 2005

KBR CAPITAL MARKETS, LLC

CRD#: 128800

PALO ALTO, CA

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

Connecticut
(11/14/2024)

IAR

Connecticut
(11/14/2024)

Massachusetts
(11/14/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

Vermont
(11/14/2024)

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: 12/12/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2005

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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Advisor Monitoring

Firm Stability Insights

Mario C. Sclafani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Charles Sclafani's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mario Charles Sclafani's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

STATE FARM VP MANAGEMENT CORP.

ST. BERNARD FINANCIAL SERVICES, INC.

ST. BERNARD FINANCIAL SERVICES, INC.

NEWBRIDGE SECURITIES CORPORATION

QUESTAR CAPITAL CORPORATION

CALDWELL INTERNATIONAL SECURITIES

LEGEND SECURITIES, INC.

SPARTAN CAPITAL SECURITIES, LLC

SYNDICATED CAPITAL, INC.

NEWPORT COAST SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

GARDEN STATE SECURITIES, INC.

MERCER CAPITAL LTD.

ESSEX & YORK, INC.

CARLTON CAPITAL INC.

S.W. BACH & COMPANY

KBR CAPITAL MARKETS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2022

Series 63

Date: 7/6/2005

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2005

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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