JP
Joseph A. Pietrykowski
LPL ENTERPRISE
Brooklyn, NY 11232
Some features on this profile are disabled
CRD#: 4762644
JP
Professional summary
Joseph Anthony Pietrykowski, who also goes by Joe A Petro, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Brooklyn, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe A Petro
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Pietrykowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Pietrykowski'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 33 35th Street Suite A410, Brooklyn, NY 11232RIA
BD
CRD#: 8733
Brooklyn, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 33 35th Street Suite A410, Brooklyn, NY 11232RIA
BD
CRD#: 8733
Brooklyn, NY
Past
May 29, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Brooklyn, NY
Past
May 2, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Brooklyn, NY
Past
May 29, 2014 - March 15, 2019
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
BROOKLYN, NY
Past
May 28, 2014 - March 15, 2019
SANTANDER SECURITIES LLC
BD
CRD#: 41791
BROOKLYN, NY
Past
April 22, 2013 - May 9, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BROOKLYN, NY
Past
April 22, 2013 - May 9, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
Past
September 17, 2012 - April 22, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BROOKLYN, NY
Past
February 11, 2010 - April 22, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BROOKLYN, NY
Past
May 29, 2007 - March 1, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BROOKLYN, NY
Past
April 19, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
BROOKLYN, NY
Past
April 27, 2005 - January 9, 2007
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
September 23, 2004 - April 21, 2005
GRANTA CAPITAL GROUP LLC
BD
CRD#: 114657
NEW YORK, NY
Past
July 19, 2004 - August 24, 2004
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
June 21, 2004 - July 14, 2004
GRANTA CAPITAL GROUP LLC
BD
CRD#: 114657
NEW YORK, NY
Past
March 10, 2004 - June 14, 2004
S.W. BACH & COMPANY
BD
CRD#: 43522
PORT WASHINGTON, 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
Florida(11/18/2024)
RR
Idaho(11/14/2024)
IAR
Idaho(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(7/18/2025)
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.
