LJ
Lawrence Johnson
LPL ENTERPRISE
ORLANDO, FL 32839
Some features on this profile are disabled
CRD#: 5318043
LJ
Professional summary
Lawrence Johnson, CFP®, who also goes by Lawrence O Johnson, Lawrence O'neil Warren Johnson, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Orlando, Florida.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lawrence has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lawrence O Johnson | Lawrence O'neil Warren Johnson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Johnson'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: 2013
Experience
Current
January 31, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 4700 Millenia Boulevard Suite 310, Orlando, FL 32839RIA
BD
CRD#: 8733
ORLANDO, FL
Current
January 31, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 4700 Millenia Boulevard Suite 310, Orlando, FL 32839RIA
BD
CRD#: 8733
ORLANDO, FL
Past
August 7, 2024 - January 23, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
ORLANDO, FL
Past
August 6, 2024 - January 23, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ORLANDO, FL
Past
May 31, 2019 - November 10, 2021
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Lake Mary, FL
Past
May 12, 2014 - May 21, 2019
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
ORLANDO, FL
Past
May 7, 2014 - May 21, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Orlando, FL
Past
January 4, 2010 - March 13, 2014
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
TAMPA, FL
Past
April 14, 2008 - December 23, 2009
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
TAMPA, FL
Past
April 4, 2008 - March 13, 2014
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
TAMPA, FL
Past
October 16, 2007 - November 28, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ATLANTA, GA
Past
July 26, 2007 - November 28, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ATLANTA, 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
California(1/31/2025)
RR
Colorado(1/31/2025)
RR
Florida(1/31/2025)
IAR
Florida(2/3/2025)
RR
Georgia(1/31/2025)
RR
Hawaii(1/31/2025)
RR
Illinois(9/22/2025)
RR
Nevada(1/31/2025)
RR
New York(1/31/2025)
RR
Ohio(1/31/2025)
RR
South Carolina(11/20/2025)
RR
Texas(1/31/2025)
IAR
Texas(1/31/2025)
RR
Virginia(1/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/7/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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#: 8733Orlando, FL 32839TRUST BUT VERIFY
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