KD
Katherine A. Dobin
LPL ENTERPRISE
HOLMDEL, NJ 07733
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CRD#: 5314329
KD
Professional summary
Katherine Anne Dobin, who also goes by Katherine Anne Cerdeira, Katherine Dobin, Katherine Anne Gallant, Katherine Gallant, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Holmdel, New Jersey.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Katherine has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Anne Cerdeira | Katherine Dobin | Katherine Anne Gallant | Katherine Gallant
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. 07/09/2025 - Club Pilates - Outside/W-2 Employment - Non Inv Related - Ocean, NJ - Start Date 02/12/2023 - 20hrs/MTH 0hrs/MTH During Trading 2. 07/09/2025 - Laurie Gallant - Act in a Fiduciary Capacity - Non Inv Related - North Middletown, NJ - Start Date 06/15/2015 - 2hrs/MTH 0hrs/MTH During Trading 3. 07/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Middletown, NJ - Start Date 06/09/2025 - 160hrs/MTH 160hrs/MTH During Trading 4. 08/13/2025-Bayshore Barks Pet Grooming LLC-Owner-Business Owner-Not inv related-At Keansburg, NJ-Start date 09/01/2025-20hrs/mth-0hrs/mth during trading 4. 07/09/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Middletown, NJ - Start Date 06/09/2025 - 160hrs/MTH 160hrs/MTH During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Anne Dobin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine Anne Dobin'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
July 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733RIA
BD
CRD#: 8733
HOLMDEL, NJ
Current
July 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733RIA
BD
CRD#: 8733
HOLMDEL, NJ
Past
May 22, 2020 - July 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Holmdel, NJ
Past
May 22, 2020 - July 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Holmdel, NJ
Past
October 13, 2008 - May 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLONIA, NJ
Past
September 16, 2008 - May 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLONIA, NJ
Past
September 7, 2007 - September 9, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BETHESDA, MD
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(7/10/2025)
IAR
New Jersey(7/11/2025)
RR
New York(7/10/2025)
RR
Pennsylvania(7/10/2025)
RR
Texas(7/10/2025)
IAR
Texas(7/10/2025)
Exams
State Security Law Exam
State Security Law 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.
