LB
Louis C. Benton
LPL ENTERPRISE
Williamsville, NY 14221
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CRD#: 6070622
LB
Professional summary
Louis C Benton II, who also goes by Lc Benton, Louis Clarence Benton, Lc Benton II, Louis C Benton, Louis Clarence Benton Ii, Louis Benton Ii, Louis Benton, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Williamsville, New York.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Louis has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lc Benton | Louis Clarence Benton | Lc Benton Ii | Louis C Benton | Louis Clarence Benton Ii | Louis Benton Ii | Louis Benton
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 Louis C Benton II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis C Benton II'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 4, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 100 College Parkway Suite 220, Williamsville, NY 14221RIA
BD
CRD#: 8733
Williamsville, NY
Current
March 4, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 100 College Parkway Suite 220, Williamsville, NY 14221RIA
BD
CRD#: 8733
Williamsville, NY
Past
April 4, 2024 - January 9, 2026
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Amherst, NY
Past
April 3, 2024 - January 9, 2026
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Amherst, NY
Past
July 18, 2022 - March 20, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
AMHERST, NY
Past
July 18, 2022 - March 20, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
AMHERST, NY
Past
March 26, 2021 - July 1, 2022
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Tonawanda, NY
Past
December 1, 2016 - July 1, 2022
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Tonawanda, NY
Past
March 28, 2013 - December 4, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
March 19, 2013 - December 4, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WILLIAMSVILLE, NY
Past
September 10, 2012 - March 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WILLIAMSVILLE, NY
Past
August 13, 2012 - March 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WILLIAMSVILLE, NY
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
New York(3/4/2026)
IAR
New York(3/4/2026)
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 |
| 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#: 8733Williamsville, NY 14221TRUST BUT VERIFY
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