OM
Omega J. Mcintosh
LPL ENTERPRISE
BASKING RIDGE, NJ 07920
Some features on this profile are disabled
CRD#: 5257611
OM
Professional summary
Omega James Mcintosh, who also goes by Omega J Mcintosh, Omega James Mcintosh Sr, Omega Mcintosh, Omego James Mcintosh, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Omega is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Omega has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Omega J Mcintosh | Omega James Mcintosh Sr | Omega Mcintosh | Omego James Mcintosh
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.
BROOKLYN FAITH SEVENTH DAY ADVENTIST CHURCH POSITION: Board Member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 5518 Church Avenue, Brooklyn NY 11203, United States DESCRIPTION: Attend meetings to discuss organizational plans NEW YORK CITY LAW DEPARTMENT POSITION: Paralegal NATURE: Legal Support Services INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 10/10/2023 ADDRESS: 100 Church Street, New York NY 10007, United States DESCRIPTION: Administrative/Clerical Duties
CRS (Client Relationship Summary) - RIA
Click below to view Omega James Mcintosh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Omega James Mcintosh'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: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
December 10, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Basking Ridge, NJ
Past
November 29, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Basking Ridge, NJ
Past
December 27, 2018 - August 31, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOLLIS, NY
Past
December 21, 2018 - August 31, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOLLIS, NY
Past
October 3, 2016 - April 25, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 27, 2016 - April 25, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 23, 2015 - August 24, 2016
MCADAM LLC
RIA
CRD#: 170914
JERSEY CITY, NJ
Past
December 9, 2014 - August 24, 2016
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Jersey City, NJ
Past
September 9, 2011 - December 14, 2012
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
August 22, 2011 - December 14, 2012
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
October 31, 2008 - December 31, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
LOGANVILLE, GA
Past
October 31, 2008 - December 31, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
LOGANVILLE, GA
Past
June 6, 2008 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
ALPHARETTA, GA
Past
May 22, 2008 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
ALPHARETTA, GA
Past
March 9, 2007 - April 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ALPHARETTA, GA
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
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
Exams
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.
