CB
Cheryl A. Bohannon
Some features on this profile are disabled
CRD#: 4633543
CB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cheryl Anne Bohannon was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 2003. Cheryl had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
ANTHONY SYKES AND COMPANY POSITION: Accountant / CTec NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2014 ADDRESS: 12631 Imperial Hwy Suite# F-136, Santa Fe Springs CA 90670, United States DESCRIPTION: I provide accounting and tax preparation services for his clients. PTLW SERVICES, INC POSITION: I'm the President NATURE: Administrative Support INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2012 ADDRESS: 4432 W 58th Place, Los Angeles CA 90043, United States DESCRIPTION: I complete the monthly billing, provide book keeping and business administrative support services to clients. NON SPONSORED HEALTH INSURANCE POSITION: Medical Broker NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 10/04/2021 ADDRESS: 4432 W 58th Place, Los Angeles CA 90043, United States DESCRIPTION: I assist client's with selecting medical insurance plans MEDICAL DIRECTIVE - FRANCES BROWN POSITION: Medical Directive NATURE: Medical Directive INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/13/2016 ADDRESS: 4432 W 58th Place, Los Angelels CA 90043, United States DESCRIPTION: My responsibilities are to make medical decisions only.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 14, 2024 - February 24, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
ORANGE, CA
Past
November 14, 2024 - February 24, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
ORANGE, CA
Past
June 13, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ORANGE, CA
Past
October 23, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ORANGE, CA
Past
May 8, 2013 - October 10, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CHINO, CA
Past
May 7, 2013 - October 10, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CHINO, CA
Past
January 6, 2012 - October 1, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LOS ANGELES, CA
Past
January 6, 2012 - October 1, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LOS ANGELES, CA
Past
November 10, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
LOS ANGELES, CA
Past
August 8, 2003 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
LOS ANGELES, CA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
