CN
Carlos A. Naranjo
LPL ENTERPRISE
SAN DIEGO, CA 92122-1250
Some features on this profile are disabled
CRD#: 4823639
CN
Professional summary
Carlos Alberto Naranjo, who also goes by Carlos A Naranjo, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Diego, California.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carlos has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos A Naranjo
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.
WINELIP.COM POSITION: owner operator NATURE: meeting space for wine enthusiast to meet INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 4681 Pomona Ave, La Mesa CA 91942, United States DESCRIPTION: create and operate website C&D CLEAN POSITION: owner operator NATURE: connecting cleaning jobs INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 4681 Pomona Ave, La Mesa CA 91942, United States DESCRIPTION: create a website domain for people to post cleaning jobs
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Alberto Naranjo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Alberto Naranjo'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: 4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250RIA
BD
CRD#: 8733
SAN DIEGO, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250RIA
BD
CRD#: 8733
SAN DIEGO, CA
Past
October 5, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN DIEGO, CA
Past
October 4, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN DIEGO, CA
Past
October 1, 2015 - October 3, 2022
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAN DIEGO, CA
Past
September 30, 2015 - October 3, 2022
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAN DIEGO, CA
Past
October 1, 2012 - October 7, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHULA VISTA, CA
Past
October 1, 2012 - October 7, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHULA VISTA, CA
Past
August 20, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHULA VISTA, CA
Past
August 11, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CHULA VISTA, CA
Past
November 10, 2009 - June 10, 2010
EDWARD JONES
RIA
CRD#: 250
SAN DIEGO, CA
Past
August 27, 2009 - June 10, 2010
EDWARD JONES
BD
CRD#: 250
SAN DIEGO, CA
Past
March 18, 2008 - August 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN DIEGO, CA
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
California(11/14/2024)
IAR
California(11/14/2024)
RR
Hawaii(11/14/2024)
Exams
State Security Law Exam
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.
