KP
Kristopher S. Phillips
LPL ENTERPRISE
SARASOTA, FL 34236
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CRD#: 6065455
KP
Professional summary
Kristopher Sean Phillips, who also goes by Kristopher Phillips, Kris Phillips, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Sarasota, Florida.
Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kristopher has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristopher Phillips | Kris Phillips
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 Kristopher Sean Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristopher Sean Phillips'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
March 12, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1689 2nd St #111, Sarasota, FL 34236RIA
BD
CRD#: 8733
SARASOTA, FL
Current
March 11, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1689 2nd St #111, Sarasota, FL 34236RIA
BD
CRD#: 8733
SARASOTA, FL
Past
April 7, 2023 - March 11, 2026
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ENGLEWOOD, FL
Past
March 24, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SARASOTA, FL
Past
March 23, 2023 - March 11, 2026
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SARASOTA, FL
Past
January 12, 2021 - March 24, 2023
MOORS & CABOT, INC.
RIA
CRD#: 594
ENGLEWOOD, FL
Past
January 11, 2021 - March 24, 2023
MOORS & CABOT, INC.
BD
CRD#: 594
ENGLEWOOD, FL
Past
April 2, 2020 - January 11, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Sarasota, FL
Past
April 1, 2020 - January 11, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Sarasota, FL
Past
July 23, 2013 - February 20, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SARASOTA, FL
Past
June 26, 2012 - February 20, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SARASOTA, FL
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
Florida(3/11/2026)
IAR
Florida(3/12/2026)
RR
Kansas(3/11/2026)
RR
Missouri(3/11/2026)
RR
New York(4/7/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
PREMIUM
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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.
