DR
Daniel E. Ruble
LPL ENTERPRISE
Grand Rapids, MI
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CRD#: 6428324
DR
Daniel Edward RubleLPL ENTERPRISE
Professional summary
Daniel Edward Ruble is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Grand Rapids, Michigan.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7TO, Series 7 and Series 24 exams.
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) 03/2026 - Shipt - Outside/W-2 Employment - Non-Investment Related- Birmingham, AL - Start Date 2/2025 - 20hrs/mth - 0hrs/during trading 2) 03/2026 - Door Dash - Outside/W-2 Employment -Non-Investment Related - Grand Rapids, MI - Start Date 1/7/2026 - 10hrs/mth- 0hrs/during trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Edward Ruble's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Edward Ruble'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
September 28, 2026 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
Grand Rapids, MI
Current
September 28, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
FORT MILL, SC
Past
March 16, 2026 - September 28, 2026
LPL FINANCIAL LLC
RIA
CRD#: 6413
Grand Rapids, MI
Past
March 16, 2026 - September 28, 2026
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 2, 2020 - February 9, 2026
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
KENTWOOD, MI
Past
December 10, 2019 - February 9, 2026
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
KENTWOOD, MI
Past
April 20, 2015 - December 28, 2015
EDWARD JONES
RIA
CRD#: 250
GRAND RAPIDS, MI
Past
February 4, 2015 - December 28, 2015
EDWARD JONES
BD
CRD#: 250
GRAND RAPIDS, MI
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
Michigan(9/28/2026)
IAR
Michigan(9/28/2026)
RR
South Carolina(9/28/2026)
IAR
South Carolina(9/28/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Passed: 9/28/2026
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 1/2/2020
General Securities Representative ExaminationGeneral 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)
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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
5,215
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 | |
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | 2496177 |
| 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 |
Regulatory assets under management
| Total Number of Accounts | 139,192 |
| AUM (Assets Under Management) | $ 24,939,385,373 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 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.
