VS
Vishal Sharma
LPL ENTERPRISE
TROY, MI 48084
Some features on this profile are disabled
CRD#: 4418727
VS
Professional summary
Vishal Sharma, who also goes by VIshal Sharma, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Troy, Michigan.
Vishal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Vishal has worked at 7 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vishal Sharma
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.
INSURANCE AGENT; INVESTMENT RELATED; INSURANCE SALES; SPENDS NO TIME DURING TRADING OR NON-TRADING HOURS; DOES NOT ACTIVELY SELL INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Vishal Sharma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vishal Sharma'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
June 16, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084RIA
BD
CRD#: 8733
TROY, MI
Current
June 16, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084RIA
BD
CRD#: 8733
TROY, MI
Past
January 4, 2024 - August 14, 2025
ALPHA ASSET ADVISORS LLC
RIA
CRD#: 295093
ROYAL OAK, MI
Past
November 5, 2022 - September 26, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BLOOMFIELD HILLS, MI
Past
June 29, 2018 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EL DORADO HILLS, CA
Past
June 29, 2018 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EL DORADO HILLS, CA
Past
October 1, 2012 - July 11, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
UNIVERSITY PARK, TX
Past
October 1, 2012 - July 11, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
UNIVERSITY PARK, TX
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LOS ANGELES, CA
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOS ANGELES, CA
Past
December 18, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
SHELBY TOWNSHIP, MI
Past
December 18, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
September 6, 2001 - November 20, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(7/14/2025)
IAR
Michigan(6/16/2025)
RR
Michigan(6/18/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/4/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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#: 8733Troy, MI 48084TRUST BUT VERIFY
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