LC
Lucinda J. Council
LPL ENTERPRISE
BASKING RIDGE, NJ 07920
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CRD#: 4781248
LC
Professional summary
Lucinda Jurene Council, who also goes by Lucinda Jurene Bracey-council, Lucinda J. Council, Lucinda Council, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Lucinda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lucinda has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucinda Jurene Bracey-Council | Lucinda J. Council | Lucinda Council
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.
CHRIST TEMPLE BAPTIST CHURCH POSITION: Volunteer NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 36-38 Hopper Street, Paterson NJ 07522, United States DESCRIPTION: Working as a volunteer at Charitable community outreach events HOLY NAME MEDICAL CENTER POSITION: Volunteer within the cancer infusion center NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 01/18/2024 ADDRESS: 718 Teaneck Rd, Teaneck NJ 07666, United States DESCRIPTION: Thursdays from 8:00 am until 12:00 pm
CRS (Client Relationship Summary) - RIA
Click below to view Lucinda Jurene Council's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucinda Jurene Council'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 Allen Road 2nd Floor, Basking Ridge, NJ 07920Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
July 27, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Basking Ridge, NJ
Past
July 25, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Basking Ridge, NJ
Past
May 7, 2021 - March 15, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODBRIDGE, NJ
Past
May 6, 2021 - March 15, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WOODBRIDGE, NJ
Past
March 19, 2018 - September 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PARAMUS, NJ
Past
March 15, 2018 - September 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PARAMUS, NJ
Past
November 28, 2006 - March 16, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WESTWOOD, NJ
Past
November 15, 2006 - March 16, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WESTWOOD, NJ
Past
July 27, 2004 - September 2, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RIDGEWOOD, NJ
Past
June 25, 2004 - September 2, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
Exams
State Security Law Exam
General Industry/Product 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.
