DH
Debbie S. Hsu
LPL ENTERPRISE
MARLBOROUGH, MA 01752
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CRD#: 5198761
DH
Professional summary
Debbie Shih-ying Hsu, who also goes by Debbie Hsu, Shih-ying Hsu, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Marlborough, Massachusetts.
Debbie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Debbie has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debbie Hsu | Shih-Ying Hsu
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. 02/13/2025 - Easterseals - Non-Profit Board Member - Non Inv Related - Worcester, MA - 01/01/2025 - 3 hrs/MTH 2. 02/13/2025 - Families for Depression Awareness - Non-Profit Board Member - Non Inv Related - Waltham, MA - 01/01/2025 - 4hrs/MTH 3. 02/13/2025 - Verizon - Outside/W-2 Employment - Non Inv Related - Boston, MA - 01/01/2025 - 30hrs/MTH 4. 02/13/2025 - HR Block - Outside/W-2 Employment - Inv Related - Boston, MA - 01/01/2025 - 4hrs/MTH
CRS (Client Relationship Summary) - RIA
Click below to view Debbie Shih-ying Hsu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debbie Shih-ying Hsu'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
February 19, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 293 Boston Post Road West Suite 110, Marlborough, MA 01752RIA
BD
CRD#: 8733
MARLBOROUGH, MA
Current
February 24, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 293 Boston Post Road West Suite 110, Marlborough, MA 01752RIA
BD
CRD#: 8733
MARLBOROUGH, MA
Past
July 5, 2017 - June 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOSTON, MA
Past
June 30, 2017 - June 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOSTON, MA
Past
May 14, 2014 - July 6, 2017
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SO. BOSTON, MA
Past
May 14, 2014 - July 6, 2017
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SO. BOSTON, MA
Past
May 29, 2012 - March 31, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
May 29, 2012 - March 31, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
October 4, 2011 - May 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
BOSTON, MA
Past
August 9, 2011 - May 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
December 13, 2010 - May 9, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
BOSTON, MA
Past
October 23, 2009 - October 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
September 6, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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
IAR
Massachusetts(2/19/2025)
RR
Massachusetts(4/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Marlborough, MA 01752TRUST BUT VERIFY
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