LW
Leah B. Waldrip
LPL ENTERPRISE
VALRICO, FL
Some features on this profile are disabled
CRD#: 4403104
LW
Professional summary
Leah Brooks Waldrip, who also goes by Leah Ellyn Brooks, Leah B Waldrip, Leah Brooks Waldrip, Leah Waldrip, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Valrico, Florida.
Leah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Leah has worked at 16 firms and has passed the Series 66, Series 63, Series 52TO, Series 31, SIE, Series 7, Series 6, Series 26, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leah Ellyn Brooks | Leah B Waldrip | Leah Brooks Waldrip | Leah Waldrip
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.
CRS (Client Relationship Summary) - RIA
Click below to view Leah Brooks Waldrip's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leah Brooks Waldrip'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
September 26, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
VALRICO, FL
Current
September 26, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
VALRICO, FL
Past
June 3, 2022 - October 11, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
VALRICO, FL
Past
June 2, 2022 - October 11, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
VALRICO, FL
Past
July 21, 2017 - May 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Valrico, FL
Past
July 20, 2017 - May 31, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
July 20, 2017 - May 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
August 5, 2014 - July 17, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
POWDER SPRINGS, GA
Past
August 5, 2014 - July 17, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 30, 2009 - July 9, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
October 29, 2009 - July 9, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FAIRFIELD, IA
Past
July 20, 2007 - April 15, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
June 28, 2007 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
June 5, 2007 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
June 5, 2007 - April 15, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
June 5, 2007 - April 15, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 22, 2005 - April 15, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
June 5, 2003 - July 16, 2004
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
December 18, 2002 - March 24, 2003
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
September 30, 2002 - December 19, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 26, 2002 - October 22, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
May 30, 2001 - June 20, 2002
SIMMERS CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 29960
PHOENIX, AZ
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
Alabama(9/26/2024)
RR
Alaska(9/26/2024)
RR
Arizona(9/26/2024)
RR
Arkansas(9/26/2024)
RR
California(9/26/2024)
RR
Colorado(9/26/2024)
RR
Connecticut(9/26/2024)
RR
Delaware(9/26/2024)
RR
District of Columbia(9/26/2024)
RR
Florida(9/26/2024)
IAR
Florida(9/27/2024)
RR
Georgia(9/26/2024)
RR
Hawaii(9/26/2024)
RR
Idaho(9/26/2024)
RR
Illinois(9/26/2024)
RR
Indiana(9/26/2024)
RR
Iowa(9/26/2024)
RR
Kansas(9/26/2024)
RR
Kentucky(9/26/2024)
RR
Louisiana(9/26/2024)
RR
Maine(9/26/2024)
RR
Maryland(9/26/2024)
RR
Massachusetts(9/26/2024)
RR
Michigan(9/26/2024)
RR
Minnesota(9/26/2024)
RR
Mississippi(9/26/2024)
RR
Missouri(9/26/2024)
RR
Montana(9/26/2024)
RR
Nebraska(9/26/2024)
RR
Nevada(9/26/2024)
RR
New Hampshire(9/26/2024)
RR
New Jersey(9/26/2024)
RR
New Mexico(9/26/2024)
RR
New York(9/26/2024)
RR
North Carolina(9/26/2024)
RR
North Dakota(9/26/2024)
RR
Ohio(9/26/2024)
RR
Oklahoma(9/26/2024)
RR
Oregon(9/26/2024)
RR
Pennsylvania(9/26/2024)
RR
Puerto Rico(9/26/2024)
RR
Rhode Island(9/26/2024)
RR
South Carolina(9/26/2024)
IAR
South Carolina(9/26/2024)
RR
South Dakota(9/26/2024)
RR
Tennessee(9/26/2024)
RR
Texas(9/26/2024)
IAR
Texas(9/26/2024)
RR
Utah(9/26/2024)
RR
Vermont(9/26/2024)
RR
Virgin Islands(9/26/2024)
RR
Virginia(9/26/2024)
RR
Washington(9/26/2024)
RR
West Virginia(9/26/2024)
RR
Wisconsin(9/26/2024)
RR
Wyoming(9/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
