Craig A. Poluszek

LPL ENTERPRISE

Morgantown, WV

Some features on this profile are disabled

CRD#: 5207075

Professional summary

Craig Anthony Poluszek, who also goes by Craig A. Poluszek, Craig Anthony Poluszek, Craig A Poluszek, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Morgantown, West Virginia.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Craig has worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig A. Poluszek | Craig Anthony Poluszek | Craig A Poluszek

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. 06/16/2025 - Poluszek Family Trust - Act in a Fiduciary Capacity - INV REL - Morgantown, WV - Start Date 05/01/2025 - 10 HRS/MO | 5 HRS/MO DURING TRADING 2. 06/16/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Morgantown, WV - INV REL - Start Date 06/11/2025 - 160hrs/mth 3. 06/16/2025 - CRAIG POLUSZEK N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Morgantown, WV - INV REL - Start Date 06/11/2025 - 160hrs/mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Anthony Poluszek's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Craig Anthony Poluszek's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 20, 2025 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

Morgantown, WV

Current

June 20, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: One Easton Oval Suite 550, Columbus, OH 43219

RIA

CRD#: 8733

COLUMBUS, OH

Past

March 7, 2025 - March 19, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

FORT MILL, SC

Past

February 12, 2025 - March 19, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

FORT MILL, SC

Past

March 18, 2024 - March 19, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MORGANTOWN, WV

Past

March 18, 2024 - March 19, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 4, 2023 - March 16, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Columbus, OH

Past

October 3, 2023 - March 16, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Columbus, OH

Past

February 1, 2023 - July 28, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BEXLEY, OH

Past

November 21, 2022 - July 27, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 27, 2021 - October 7, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

MORGANTOWN, WV

Past

March 2, 2021 - October 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 28, 2019 - October 10, 2019

HORACE MANN INVESTORS, INC.

CRD#: 11643

Washington, PA

Past

December 8, 2016 - January 8, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Westerville, OH

Past

December 8, 2016 - January 8, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

Westerville, OH

Past

May 20, 2016 - July 28, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, OH

Past

May 19, 2016 - July 28, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBUS, OH

Past

September 10, 2014 - November 9, 2015

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

COLUMBUS, OH

Past

September 10, 2014 - November 9, 2015

SANDERS MORRIS LLC

CRD#: 20580

COLUMBUS, OH

Past

October 26, 2013 - September 25, 2014

MORGAN STANLEY

CRD#: 149777

COLUMBUS, OH

Past

June 28, 2013 - September 25, 2014

MORGAN STANLEY

RIA

CRD#: 149777

COLUMBUS, OH

Past

April 13, 2011 - July 21, 2011

WADDELL & REED

RIA

CRD#: 866

DUBLIN, OH

Past

April 12, 2011 - July 21, 2011

WADDELL & REED

CRD#: 866

DUBLIN, OH

Past

February 23, 2009 - December 14, 2009

PARK AVENUE SECURITIES LLC

CRD#: 46173

MORGANTOWN, WV

Past

August 29, 2007 - February 6, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MORGANTOWN, WV

Past

September 14, 2006 - January 17, 2007

PRUCO SECURITIES, LLC.

CRD#: 5685

COLUMBUS, OH

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Ohio
(6/20/2025)

IAR

Ohio
(6/20/2025)

West Virginia
(6/20/2025)

IAR

West Virginia
(6/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/20/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/28/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Craig A. Poluszek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Anthony Poluszek's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Craig Anthony Poluszek's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

LPL FINANCIAL LLC

HORACE MANN INVESTORS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EDELMAN FINANCIAL SERVICES, LLC

SANDERS MORRIS LLC

MORGAN STANLEY

MORGAN STANLEY

WADDELL & REED

WADDELL & REED

PARK AVENUE SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2023

Series 65

Date: 7/28/2009

Series 63

Date: 10/5/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2013

Series 6

Date: 9/13/2006

Series 24

Date: 1/9/2017

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Similar Advisors