PH
Paul Harney
LPL ENTERPRISE
East Falmouth, MA
Some features on this profile are disabled
CRD#: 4751126
PH
Professional summary
Paul Harney, AIF®, who also goes by Paul Joseph Harney, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in East Falmouth, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Joseph Harney
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. 01/02/2025 - St. Joseph, Guardian of the Holy Family Parish - Outside/W-2 Employment - NOT INV REL - East Falmouth, MA, - Start Date 10/12/2013 - 25hrs/MTH 2. 01/02/2025 - Paul Harney - Non-Variable Insurance - NOT INV REL - East Falmouth, MA, Start Date 07/01/2004 - 30hrs/MTH
CRS (Client Relationship Summary) - RIA
Click below to view Paul Harney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Harney'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
April 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #2: 475 Kilvert Street Suite 135, Warwick, RI 02886RIA
BD
CRD#: 8733
East Falmouth, MA
Current
January 16, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 475 Kilvert Street Suite 135, Warwick, RI 02886RIA
BD
CRD#: 8733
WARWICK, RI
Past
June 16, 2022 - October 27, 2023
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
June 16, 2022 - October 27, 2023
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
January 3, 2022 - May 17, 2022
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PLYMOUTH, MA
Past
February 6, 2017 - June 2, 2022
CONDON WEALTH MANAGEMENT, INC.
RIA
CRD#: 128409
PLYMOUTH, MA
Past
January 25, 2017 - December 31, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PLYMOUTH, MA
Past
October 27, 2014 - January 5, 2017
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
FALMOUTH, MA
Past
October 20, 2014 - January 5, 2017
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
FALMOUTH, MA
Past
January 28, 2014 - October 20, 2014
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
EAST FALMOUTH, MA
Past
January 13, 2014 - October 20, 2014
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
EAST FALMOUTH, MA
Past
October 15, 2007 - January 6, 2014
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
RIA
CRD#: 128716
EASTON, PA
Past
April 19, 2007 - December 31, 2013
OSAIC WEALTH, INC.
BD
CRD#: 23131
EAST FALMOUTH, MA
Past
July 26, 2005 - March 12, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
WALTHAM, MA
Past
March 31, 2004 - July 1, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Massachusetts(1/16/2025)
IAR
Massachusetts(4/10/2025)
RR
Rhode Island(1/16/2025)
Exams
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.
