DC
Daniel R. Callahan
LPL ENTERPRISE
MALVERN, PA 19355
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CRD#: 4773546
DC
Professional summary
Daniel R Callahan is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Malvern, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 04/24/2025-RTR Services-Owner-Not inv related-Start date 12/01/2013-1hrs/mth-0hrs/mth during trading 2) 05/01/2025-Callahan Insurance Trust-Trustee-Inv related-At West Grove, PA-Start date 11/01/2008-1hrs/mth-0hrs/mth during trading 3) 04/24/2025-RTR Services-Business Owner-Private ATM-Not inv related-At West Grove, PA-Start date 01/01/2012-1hrs/mth-0hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel R Callahan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel R Callahan'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: 110 Phoenixville Pike Suite 100, Malvern, PA 19355RIA
BD
CRD#: 8733
MALVERN, PA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Phoenixville Pike Suite 100, Malvern, PA 19355RIA
BD
CRD#: 8733
MALVERN, PA
Past
June 13, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Exton, PA
Past
June 11, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Exton, PA
Past
March 28, 2019 - July 31, 2020
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
PAOLI, PA
Past
March 26, 2019 - July 31, 2020
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
PAOLI, PA
Past
January 4, 2016 - March 1, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NEWTOWN SQ, PA
Past
January 4, 2016 - March 1, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NEWTOWN SQ, PA
Past
September 25, 2014 - January 11, 2016
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Wayne, PA
Past
September 16, 2014 - January 11, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Wayne, PA
Past
May 15, 2013 - January 15, 2014
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
APPLETON, WI
Past
May 15, 2013 - January 15, 2014
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 20, 2010 - August 11, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
PHILADELPHIA, PA
Past
October 13, 2010 - August 11, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
PHILADELPHIA, PA
Past
March 11, 2008 - December 31, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WILMINGTON, DE
Past
October 1, 2007 - December 31, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WILMINGTON, DE
Past
August 27, 2004 - September 28, 2005
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/14/2024
General Securities Representative ExaminationGeneral 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.
