Rayshan L. Hartsfield

LPL FINANCIAL LLC

CHARLOTTE, NC

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CRD#: 4689200

Professional summary

Rayshan Lamont Hartsfield, who also goes by Rayshan Hartsfield, Shaun Hartsfield, Rayshan Lamont Hartsfield, is a registered financial professional currently at LPL FINANCIAL LLC located in Charlotte, North Carolina and LPL ENTERPRISE, LLC located in Fort Mill, South Carolina.

Rayshan is registered as a RR (Registered Representative) and started their career in finance in 2003. Rayshan has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rayshan Hartsfield | Shaun Hartsfield | Rayshan Lamont Hartsfield

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) - BD

Click below to view Rayshan Lamont Hartsfield'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

December 16, 2024 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Current

December 18, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 8733

Fort Mill, SC

Past

April 30, 2024 - September 9, 2024

INNOVATION PARTNERS LLC

CRD#: 146344

Charlotte, NC

Past

January 30, 2017 - January 4, 2023

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 22, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

CHARLOTTE, NC

Past

April 22, 2014 - January 6, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

March 12, 2010 - January 9, 2014

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

March 27, 2008 - June 9, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

August 23, 2007 - June 9, 2009

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

February 27, 2007 - June 13, 2007

E*TRADE SECURITIES LLC

CRD#: 29106

CHARLOTTE, NC

Past

August 13, 2003 - February 7, 2007

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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.

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
(12/18/2024)

South Carolina
(12/18/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/8/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 7/16/2024

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/22/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2014

General Securities Principal 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
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

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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Firm Stability Insights

Rayshan L. Hartsfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rayshan Lamont Hartsfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

INNOVATION PARTNERS LLC

LPL FINANCIAL LLC

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

E*TRADE SECURITIES LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/8/2008

Series 63

Date: 8/19/2003

Series 99TO

Date: 7/16/2024

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2007

Series 6

Date: 8/12/2003

Series 53

Date: 7/22/2024

Series 24

Date: 5/21/2014

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

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