SG
Shuang Guo
LPL ENTERPRISE
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 6728775
SG
Professional summary
Shuang Guo, who also goes by Grace Guo, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in New York, New York.
Shuang is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Shuang has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grace Guo
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) 10/11/2024- Mfin advisors LLC- Non-Variable Insurance- Activities include medical insurance for groups and individuals nationwide, dental and vision plans, travel insurance and global insurance- INV Related- New York, NY- Start Date 01/20/2021- 12hrs/mth- 0hrs during trading 2) 10/10/2024- Mfin advisors LLC- Mortgage/Real Estate Services- Real estate rental assistance if other agents' schedules are full during weekends- INV Related- New York, NY- Start Date 01/09/2023- 2hrs/mth- 0hrs during trading 3) 10/10/2024- Grace Guo- Tax Prep/Accounting/CPA- I passed the Enrolled agent exams to understand better of tax related problems. I don't do any business or make money as an Enrolled agent- Not INV Related- New York, NY- Start Date 10/03/2022- 5hrs/mth- 0hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Shuang Guo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shuang Guo'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: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020Office #2: 104 W 40th St. Suite 1120, New York, NY 10018RIA
BD
CRD#: 8733
NEW YORK, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020Office #2: 104 W 40th St. Suite 1120, New York, NY 10018RIA
BD
CRD#: 8733
NEW YORK, NY
Past
September 27, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
New York, NY
Past
April 26, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
New York, NY
Past
September 26, 2022 - May 15, 2023
AC SUNSHINE SECURITIES LLC
BD
CRD#: 317903
New York, NY
Past
September 13, 2018 - October 14, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Forest Hills, NY
Past
December 14, 2017 - September 10, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FLUSHING, NY
Past
December 15, 2016 - September 19, 2017
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, 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
California(11/14/2024)
RR
Delaware(11/5/2025)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Hawaii(7/2/2025)
RR
Illinois(11/7/2025)
RR
Massachusetts(3/10/2025)
RR
Nevada(5/17/2025)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(10/30/2025)
RR
Ohio(3/12/2025)
RR
Pennsylvania(6/17/2025)
RR
South Carolina(11/14/2024)
RR
Texas(7/2/2025)
RR
Virginia(3/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/22/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
