PR
Paritosh Rajora
LPL ENTERPRISE
SAN JOSE, CA 95110
Some features on this profile are disabled
CRD#: 5852086
PR
Professional summary
Paritosh Rajora is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.
Paritosh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Paritosh has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
PRINCIPAL FINANCIAL GROUP POSITION: Agent of record NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/19/2018 ADDRESS: 1731 Technology Drive, Suite 600, San Jose CA 95110, United States DESCRIPTION: Servicing existing policies. REAL ESTATE SALESPERSON POSITION: Real Estate Sales Person NATURE: Real Estate Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2018 ADDRESS: 2215 Duvall Ct, Santa Clara CA 95054, United States DESCRIPTION: Help in buying and selling Real Estate SILICON SAGE BUILDERS POSITION: None NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2019 ADDRESS: 560 S Mathilda Ave, Sunnyvale CA 94086, United States DESCRIPTION: None RENTAL PROPERTY PETALUMA POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2005 ADDRESS: 1617 Sequoia Drive, Petaluma CA 94954, United States DESCRIPTION: Renting RENTAL PROPERTY SANTA CLARA POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2005 ADDRESS: 2215 Duvall Ct, Santa Clara CA 95054, United States DESCRIPTION: Renting HEALTH INSURANCE AGENT POSITION: Health Insurance Agent NATURE: Health Insurance agent INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/01/2015 ADDRESS: 2215 Duvall Ct, Santa Clara CA 95054, United States DESCRIPTION: Service group health insurance plan YOUNGMINDSAREUS.COM POSITION: Facilitator NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/02/2018 ADDRESS: 2215 Duvall Ct, Santa Clara CA 95054, United States DESCRIPTION: Distribute the material of course (online) and monitor the progress of the students, be a resource for students with any questions.
CRS (Client Relationship Summary) - RIA
Click below to view Paritosh Rajora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paritosh Rajora'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: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Past
September 24, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN JOSE, CA
Past
September 17, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN JOSE, CA
Past
April 19, 2013 - September 21, 2018
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SAN JOSE, CA
Past
April 10, 2013 - September 21, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SAN JOSE, CA
Past
April 13, 2011 - February 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN JOSE, CA
Past
April 13, 2011 - February 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
Past
November 18, 2010 - January 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
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(11/14/2024)
IAR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Michigan(1/9/2025)
RR
New York(11/14/2024)
RR
Ohio(11/14/2024)
RR
Oregon(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Washington(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.
