KP
Kimberly V. Place
LPL ENTERPRISE
Dover, NH 03820
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CRD#: 4737889
KP
Professional summary
Kimberly Viner Place, ChFC®, who also goes by Kimberly Place, Kimberly Ann Place, Kimberly Ann VIner, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Dover, New Hampshire.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kimberly has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Place | Kimberly Ann Place | Kimberly Ann Viner
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) 08/19/2025-Kimberly Place-Insurance Agent-Non-Variable Insurance Commission Trails-Inv related-At Dover, NH-Start date 01/03/2025
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Viner Place's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Viner Place'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: 6 Dover Point Road Suite B, Dover, NH 03820RIA
BD
CRD#: 8733
Dover, NH
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 6 Dover Point Road Suite B, Dover, NH 03820RIA
BD
CRD#: 8733
Dover, NH
Past
May 30, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Dover, NH
Past
May 30, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Dover, NH
Past
February 26, 2018 - May 24, 2024
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
CONCORD, NH
Past
February 26, 2018 - May 24, 2024
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
CONCORD, NH
Past
November 2, 2012 - March 1, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CONCORD, NH
Past
October 16, 2012 - March 1, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONCORD, NH
Past
February 8, 2011 - October 24, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MANCHESTER, NH
Past
February 1, 2011 - October 24, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MANCHESTER, NH
Past
February 19, 2008 - January 21, 2011
OSAIC FS, INC.
RIA
CRD#: 3870
CONCORD, NH
Past
November 1, 2004 - January 21, 2011
OSAIC FS, INC.
BD
CRD#: 3870
CONCORD, NH
Past
January 21, 2004 - November 2, 2004
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, 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.
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(11/14/2024)
RR
Florida(11/15/2024)
RR
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Missouri(11/14/2024)
RR
New Hampshire(11/14/2024)
IAR
New Hampshire(11/14/2024)
RR
North Carolina(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Dover, NH 03820TRUST BUT VERIFY
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