LL
Louis A. La Medica
LPL ENTERPRISE
WEST CALDWELL, NJ 07006
Some features on this profile are disabled
CRD#: 4596562
LL
Professional summary
Louis Arnold La Medica, who also goes by Louis Arnold La Medica Jr, Louis La Medica Jr, Louis A La Medica, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in West Caldwell, New Jersey.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Louis has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Arnold La Medica Jr | Louis La Medica Jr | Louis A La Medica
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.
1) 02/14/2025 - Elite Financial Services, LLC- Non-Variable Insurance- Fixed Life Insurance- inv. related- at West Caldwell, NJ- start date 01/02/2013- 10hrs/mnth-5hrs during trading 2) 06/26/2025-Medicare Planning Services, LLC-Managing Member-Non-Variable Insurance-Inv related-At West Caldwell, NJ-Start date 11/17/2022-7hrs/mth-0hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Louis Arnold La Medica's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Arnold La Medica'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: 185 Fairfield Ave Suite 1d, West Caldwell, NJ 07006RIA
BD
CRD#: 8733
WEST CALDWELL, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 185 Fairfield Ave Suite 1d, West Caldwell, NJ 07006RIA
BD
CRD#: 8733
WEST CALDWELL, NJ
Past
August 6, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
West Caldwell, NJ
Past
August 2, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
West Caldwell, NJ
Past
September 15, 2016 - August 21, 2019
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
West Caldwell, NJ
Past
July 21, 2016 - August 21, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
West Caldwell, NJ
Past
June 18, 2008 - June 13, 2013
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 119890
ROCKAWAY, NJ
Past
June 18, 2008 - June 15, 2016
APW CAPITAL, INC.
BD
CRD#: 43814
West CALDWELL, NJ
Past
January 19, 2007 - May 27, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
EAST HANOVER, NJ
Past
January 9, 2007 - May 27, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
EAST HANOVER, NJ
Past
April 27, 2004 - January 12, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CRANFORD, NJ
Past
April 27, 2004 - January 12, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
CRANFORD, NJ
Past
April 27, 2004 - January 12, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CRANFORD, NJ
Past
March 20, 2003 - April 2, 2004
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CRANFORD, NJ
Past
December 12, 2002 - April 2, 2004
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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(1/9/2025)
RR
Florida(11/18/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(12/3/2024)
RR
South Carolina(1/21/2025)
RR
Virginia(1/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
