Bart K. Gregory

LPL ENTERPRISE

CHARLOTTE, NC 28209

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CRD#: 4615974

Professional summary

Bart Kendall Gregory, who also goes by Bart K Gregory, Bart Kendall Gregory Mr., Bart Kendall Gregory, Bart Gregory, Kendall Gregory, Bart Gregory Kendall, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Charlotte, North Carolina.

Bart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Bart has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bart Kendall Gregory's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Bart Kendall Gregory's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 17, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209

RIA

CRD#: 8733

CHARLOTTE, NC

Current

November 17, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209

RIA

CRD#: 8733

CHARLOTTE, NC

Past

May 16, 2024 - October 13, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

May 16, 2024 - October 13, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

Past

May 9, 2023 - November 22, 2023

CREDIT UNION INVESTMENT SERVICES

RIA

CRD#: 144871

Mooresville, NC

Past

May 9, 2023 - November 22, 2023

SECU BROKERAGE SERVICES

CRD#: 19899

MOORESVILLE, NC

Past

August 3, 2022 - April 25, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

August 3, 2022 - April 25, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

December 21, 2021 - August 1, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

December 20, 2021 - August 1, 2022

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

September 27, 2021 - October 1, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

August 26, 2015 - June 1, 2021

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

ORLANDO, FL

Past

August 19, 2015 - June 1, 2021

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Orlando, FL

Past

September 25, 2013 - January 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

August 6, 2013 - January 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

January 23, 2007 - October 10, 2008

EDWARD JONES

RIA

CRD#: 250

ORLANDO, FL

Past

October 27, 2006 - October 10, 2008

EDWARD JONES

CRD#: 250

ORLANDO, FL

Past

April 23, 2004 - April 11, 2006

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

October 20, 2003 - December 31, 2003

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

North Carolina
(11/17/2025)

IAR

North Carolina
(11/17/2025)

South Carolina
(11/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/23/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Bart K. Gregory

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bart Kendall Gregory's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Bart Kendall Gregory's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIDELITY BROKERAGE SERVICES LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

EDWARD JONES

NATIONWIDE SECURITIES, LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2013

Series 63

Date: 10/23/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/5/2013

Series 6

Date: 10/17/2003

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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