Dennis N. Cordova
LPL ENTERPRISE | Financial Advisor
WARWICK, NY 10990
Some features on this profile are disabled
CRD#: 5188846
Professional summary
Dennis Nicholas Cordova, CFP®, who also goes by Dennis Cordova, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Warwick, New York.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dennis has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Dennis Cordova
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. 09/25/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Warwick, NY - Start Date 08/05/2025 - 160hrs/MTH 160hrs/MTH During Trading 2. 09/25/2025 - DENNIS NICHOLAS CORDOVA - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Warwick, NY - Start Date 08/05/2025 - 160hrs/MTH 160hrs/MTH During Trading 3. 10/02/2025 - Warwick Wealth Management - DBA for LPL Business (entity for LPL business) - Warwick, NY - INV REL - Start Date 10/10/2025 - 160hrs/mth | 160hrs during trading 4. 10/02/2025 - Dennis Cordova TTEE - Act in a Fiduciary Capacity - Warwick, NY - INV REL - Start Date 12/01/2021 - 1hr/mth | 1hrs during trading 5. 10/02/2025 - rental - Real Estate Rental - Glen Rock, NJ - INV REL - Start Date 08/01/2025 - 1hr/mth | 0hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Nicholas Cordova's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Nicholas Cordova'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®
CFP®
Start date: 2017
Experience
Current
October 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 20 Spring Street Suite 1a, Warwick, NY 10990RIA
BD
CRD#: 8733
WARWICK, NY
Current
October 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 20 Spring Street Suite 1a, Warwick, NY 10990RIA
BD
CRD#: 8733
WARWICK, NY
Past
February 21, 2019 - October 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MONTVALE, NJ
Past
February 8, 2019 - October 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MONTVALE, NJ
Past
March 6, 2017 - February 8, 2019
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
NEW CITY, NY
Past
September 12, 2012 - February 8, 2019
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
NEW CITY, NY
Past
November 9, 2009 - September 7, 2012
BIONDO ASSET MANAGEMENT LLC
BD
CRD#: 129690
MILFORD, PA
Past
January 7, 2009 - October 29, 2009
ECHOTRADE LLC
BD
CRD#: 42239
PHOENIX, AZ
Past
May 27, 2008 - December 31, 2008
BIONDO ASSET MANAGEMENT LLC
BD
CRD#: 129690
MILFORD, PA
Past
December 18, 2007 - January 18, 2008
BIONDO ASSET MANAGEMENT LLC
BD
CRD#: 129690
MILFORD, PA
Past
August 16, 2007 - August 23, 2007
BIONDO ASSET MANAGEMENT LLC
BD
CRD#: 129690
MILFORD, 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
Connecticut(10/10/2025)
RR
Florida(10/10/2025)
RR
Maryland(10/10/2025)
RR
New Jersey(10/10/2025)
RR
New York(10/10/2025)
IAR
New York(10/10/2025)
RR
North Carolina(10/10/2025)
RR
Pennsylvania(10/10/2025)
RR
South Carolina(10/10/2025)
Exams
State Security Law Exam
State Security Law Exam
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
Financial AdvisorCRD#: 8733Warwick, NY 10990TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
