KH
Kip F. Hoag
LPL ENTERPRISE
Liverpool, NY 13090
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CRD#: 4767145
KH
Professional summary
Kip Flagler Hoag, who also goes by Kip Flagler Hoag, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Liverpool, New York.
Kip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kip has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kip Flagler Hoag
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) 10/10/2024 - Acropolis Insurance Agency - I am a producing Property & Casuality agent - Property and Casualty - Inv Related - At Rochester, NY - Start Date 08/01/2024 - 40hrs/mth - 10hrs/mth During Trading 2) 10/10/2024 - AllDay Benefits - It is a voluntary benefit company that solicits voluntary benefits to companies - Non-Variable Insurance - Non Inv Related - At Rochester, NY - Start Date 11/01/2022 - 10hrs/mth - 5hrs/mth During Trading 3) 10/10/2024 - Integrated Financial Group - I am a Financial Advisor practicing under the DBA of Integrated Financial Group - DBA for LPL Business (entity for LPL business) - Inv Related - At Rochester, NY - Start Date 01/01/2020 - 160hrs/mth - 130hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kip Flagler Hoag's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kip Flagler Hoag'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: 7854 Oswego Road Suite 202, Liverpool, NY 13090Office #2: 1200 Scottsville Road Suite 470b, Rochester, NY 14624RIA
BD
CRD#: 8733
Liverpool, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 7854 Oswego Road Suite 202, Liverpool, NY 13090Office #2: 1200 Scottsville Road Suite 470b, Rochester, NY 14624RIA
BD
CRD#: 8733
Liverpool, NY
Past
September 6, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Liverpool, NY
Past
October 23, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Liverpool, NY
Past
May 5, 2017 - October 22, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Rome, NY
Past
September 24, 2013 - April 6, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Liverpool, NY
Past
July 24, 2009 - October 1, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SYRACUSE, NY
Past
March 17, 2006 - June 3, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ONEIDA, NY
Past
March 17, 2006 - June 3, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ONEIDA, NY
Past
October 7, 2004 - March 21, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 7, 2004 - March 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(1/2/2025)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(7/16/2025)
RR
Pennsylvania(11/14/2024)
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Liverpool, NY 13090TRUST BUT VERIFY
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