KT
Kimberly S. Turner
LPL ENTERPRISE
CHARLOTTE, NC 28209
Some features on this profile are disabled
CRD#: 4586957
KT
Professional summary
Kimberly Sue Turner, ChFC®, CLU®, who also goes by Kimberly Sue Irvin, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Charlotte, North Carolina.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kimberly has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 26 and Series 51 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Sue Irvin
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.
KIMBERLY TURNER POSITION: Owner of rental property NATURE: 1 Rental properties INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 421 Atherton St, Charlotte NC 28209, United States DESCRIPTION: rental property owner
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Sue Turner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Sue Turner'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®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209RIA
BD
CRD#: 8733
CHARLOTTE, NC
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209RIA
BD
CRD#: 8733
CHARLOTTE, NC
Past
July 6, 2009 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHARLOTTE, NC
Past
July 6, 2009 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHARLOTTE, NC
Past
May 15, 2009 - July 2, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
May 15, 2009 - July 2, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Past
January 18, 2008 - January 9, 2009
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
February 27, 2004 - January 18, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHARLOTTE, NC
Past
January 5, 2004 - January 18, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHARLOTTE, NC
Past
October 21, 2002 - October 6, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 21, 2002 - October 6, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(11/14/2024)
RR
Alaska(11/14/2024)
RR
Arizona(11/14/2024)
RR
Arkansas(11/14/2024)
IAR
Arkansas(11/14/2024)
RR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Delaware(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Hawaii(11/14/2024)
RR
Idaho(11/14/2024)
RR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
RR
Iowa(11/14/2024)
RR
Kansas(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Louisiana(11/14/2024)
RR
Maine(11/14/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Michigan(11/14/2024)
RR
Minnesota(11/14/2024)
RR
Mississippi(11/14/2024)
RR
Missouri(11/14/2024)
RR
Montana(11/14/2024)
RR
Nebraska(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Hampshire(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New Mexico(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
IAR
North Carolina(11/14/2024)
RR
North Dakota(11/14/2024)
RR
Ohio(11/14/2024)
RR
Oklahoma(11/14/2024)
RR
Oregon(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/14/2024)
RR
South Carolina(11/14/2024)
IAR
South Carolina(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
RR
Utah(11/14/2024)
RR
Vermont(11/14/2024)
RR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
RR
West Virginia(11/14/2024)
RR
Wisconsin(11/14/2024)
RR
Wyoming(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
