Brock R. Scigliano
LPL ENTERPRISE | Financial Consultant
SAN JOSE, CA 95110
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CRD#: 5880585
Professional summary
Brock Romero Scigliano is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.
Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Brock has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
I help my clients stay in line with financial goals and provide them time to focus on what makes and keeps them happy.
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.
1. 08/11/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - San Mateo, CA - Start Date 08/05/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 08/11/2025 - BROCK SCIGLIANO N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - San Mateo, CA - Start Date 08/05/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Brock Romero Scigliano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brock Romero Scigliano'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®
NoneEducation
University of Arizona
Bachelor of Arts (BA) - Communications and Business Management
2010
Experience
Current
August 27, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Current
August 27, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Past
March 8, 2022 - May 28, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BURLINGAME, CA
Past
February 25, 2022 - May 28, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BURLINGAME, CA
Past
November 4, 2013 - April 20, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
Southlake, TX
Past
November 4, 2013 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Southlake, TX
Past
July 12, 2011 - April 20, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
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(8/27/2025)
IAR
California(8/27/2025)
Exams
State Security Law Exam
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.
Company Information
LPL ENTERPRISE, LLC
Financial ConsultantCRD#: 8733San Jose, CA 95110TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
