MB
Mario Bear
LPL ENTERPRISE
CHICAGO, IL 60608
Some features on this profile are disabled
CRD#: 5667491
MB
Professional summary
Mario Bear, who also goes by Mario A Bear, Mario Alberto Bear, Mario A. Bear, Mario Bear, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Chicago, Illinois.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mario has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mario A Bear | Mario Alberto Bear | Mario A. Bear | Mario Bear
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) 11/06/2024 - Real People Realty - Agent for clients buying or selling residential, non-investment/commercial - Mortgage/Real Estate Services - Inv Related - At CHICAGO, IL - Start Date 12/14/2017 - 0hrs/mth - 0hrs/mth During Trading 2) 11/21/2024 - FinBe USA - Outside/W-2 Employment - Cultivate good relationships with dealerships in a region or territory to promote FinBe USA. - INV Related - At Fort Lauderdale, FL - Start Date 10/21/2024 - 80hrs/mth - 80hrs During Trading 3) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Mario Bear's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mario Bear'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: 2510 S Western Ave, Chicago, IL 60608Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
CHICAGO, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2510 S Western Ave, Chicago, IL 60608Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
CHICAGO, IL
Past
August 10, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Chicago, IL
Past
August 9, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Chicago, IL
Past
May 27, 2020 - February 3, 2023
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
EVERGREEN PARK, IL
Past
May 26, 2020 - February 3, 2023
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
EVERGREEN PARK, IL
Past
February 15, 2019 - June 4, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HINSDALE, IL
Past
January 23, 2019 - June 4, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HINSDALE, IL
Past
May 2, 2018 - January 25, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
CHICAGO, IL
Past
May 2, 2018 - January 25, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
CHICAGO, IL
Past
August 31, 2016 - April 24, 2017
WADDELL & REED
RIA
CRD#: 866
MOKENA, IL
Past
August 30, 2016 - April 24, 2017
WADDELL & REED
BD
CRD#: 866
MOKENA, IL
Past
March 4, 2016 - August 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OAK BROOK, IL
Past
January 12, 2016 - August 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OAK BROOK, IL
Past
May 29, 2009 - January 25, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HICKORY HILLS, IL
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
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
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.
