PK
Peter E. Katenkamp
LPL ENTERPRISE
Campbell Hall, NY 10916
Some features on this profile are disabled
CRD#: 4491420
PK
Professional summary
Peter Edward Katenkamp is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Campbell Hall, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Peter has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
HARNESS ADVISORS,3136 ROUTE 207,SUITE 103,CAMPBELL HALL,NY 10916,INV REL, PRESIDENT/CEO, 160 HRS/MO, DURING TRADE HRS. I AM AN AGENT FOR SEVERAL INSURANCE COMPANIES SELLING LIFE, DI, LTC, HEALTH AND DO SO UNDER THE DBA HARNESS ADVISORS*HARNESS WEALTH STRATEGIES,3136 ROUTE 207,SUITE 103,CAMPBELL HALL,NY 10916,ONGOING,10/01/2022,PRESIDENT,INSURANCE BASED SOLUTIONS, ADVANCED MARKETS,DURING TRD/HRS,100%.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Edward Katenkamp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Edward Katenkamp'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: 3136 Nys Rte 207 Suite 103, Campbell Hall, NY 10916Office #2: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
Campbell Hall, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3136 Nys Rte 207 Suite 103, Campbell Hall, NY 10916Office #2: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
Campbell Hall, NY
Past
January 4, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
New York, NY
Past
January 4, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
New York, NY
Past
June 22, 2021 - December 20, 2023
EQUITY SERVICES, INC.
RIA
CRD#: 265
CAMPBELL HALL, NY
Past
August 17, 2015 - December 20, 2023
EQUITY SERVICES, INC.
BD
CRD#: 265
CAMPBELL HALL, NY
Past
September 13, 2012 - August 17, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GOSHEN, NY
Past
December 4, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MIDDLETOWN, NY
Past
December 4, 2002 - July 18, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MIDDLETOWN, NY
Past
July 29, 2002 - August 30, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
January 30, 2002 - March 19, 2002
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, 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
Arizona(11/14/2024)
RR
Arkansas(11/14/2024)
RR
Florida(11/18/2024)
RR
Georgia(7/18/2025)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(7/18/2025)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Texas(9/29/2025)
IAR
Texas(10/22/2025)
RR
Virginia(11/14/2024)
Exams
State Security Law 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)
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)
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#: 8733Campbell Hall, NY 10916TRUST BUT VERIFY
Monitor Peter Katenkamp
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
