SD
Shane N. Davis
LPL ENTERPRISE
Warrington, PA 18976
Some features on this profile are disabled
CRD#: 4996196
SD
Professional summary
Shane N Davis, who also goes by Shane Nathaneal Davis, Shane Davis, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Warrington, Pennsylvania.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Shane has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Nathaneal Davis | Shane Davis
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. 03/27/2025 - Meritain Health - Outside/W-2 Employment - Non Inv Related - Northampton, PA - Start Date 02/10/2025 - 30hrs/MTH 2. 03/27/2025-N/A Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At Northampton, PA-Start date 03/27/2025-160hrs/mth-160hrs/mth during trading 3) 03/27/2025-Prudential Advisors-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 03/27/2025-160hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Shane N Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane N Davis'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
April 17, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2700 Kelly Road Suite 100d, Warrington, PA 18976RIA
BD
CRD#: 8733
Warrington, PA
Current
April 17, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2700 Kelly Road Suite 100d, Warrington, PA 18976RIA
BD
CRD#: 8733
Warrington, PA
Past
June 28, 2024 - April 14, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ALLENTOWN, PA
Past
June 24, 2024 - April 14, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ALLENTOWN, PA
Past
October 12, 2022 - May 15, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ALLENTOWN, PA
Past
October 6, 2022 - May 15, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ALLENTOWN, PA
Past
July 13, 2022 - September 27, 2022
ELEVATED CAPITAL ADVISORS, LLC
RIA
CRD#: 226721
Northampton, PA
Past
June 16, 2021 - January 3, 2022
GWN SECURITIES INC.
RIA
CRD#: 128929
WAYNE, PA
Past
June 16, 2021 - January 3, 2022
GWN SECURITIES INC.
BD
CRD#: 128929
WAYNE, PA
Past
July 30, 2020 - March 30, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
EDISON, NJ
Past
July 30, 2020 - March 30, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
EDISON, NJ
Past
November 25, 2019 - May 5, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
BETHLEHEM, PA
Past
September 6, 2019 - May 5, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
BETHLEHEM, PA
Past
August 24, 2018 - July 29, 2019
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
BETHLEHEM, PA
Past
February 13, 2017 - September 12, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WHITEHALL, PA
Past
October 27, 2016 - January 31, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
Past
December 15, 2015 - September 30, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ALLENTOWN, 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
Pennsylvania(4/17/2025)
IAR
Pennsylvania(4/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2025
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.
