Li D. Dong
LPL ENTERPRISE
SAN JOSE, CA 95110
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CRD#: 6877880
Professional summary
Li Dong Dong, CFP®, who also goes by Li Dong, Li Dong Ma, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.
Li is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Li has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Li Dong | Li Dong Ma
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) 01/08/2025 - LI DONG - Mortgage/Real Estate Services - I offer buying and selling real properties services and originating mortgage loans to customers. - INV Related - At San Jose, CA - Start Date 05/03/2023 - 5hrs/mth - 0hrs During Trading 2) 01/08/2025 - BEYOND CPAs LLC - Tax Prep/Accounting/CPA - ACCOUNTING & TAX PREPARATION, AND COUNSULTING SERVICES - INV Related - At Pleasanton, CA - Start Date 01/01/2014 - 10hrs/mth - 0hrs During Trading 3) 01/08/2025 - LD HAWAII HOLDINGS LLC - Real Estate Rental - HOLDING INVESTMENTS IN REAL ESTATE PROPERTIES, AS A MEMBER OF OTHER LLCs WHICH HOLD THE RENTAL PROPERTIES. THIS IS A PASSIVE INVESTMENT, AND I DO NOT PARTICIPATE IN MANAGING THE PROPERTIES. - INV Related - At Pleasanton, CA - Start Date 11/01/2022 - 0hrs/mth - 0hrs During Trading 4) 12/31/2024 - LD CALIFORNIA HOLDINGS LLC - Business Entity For Tax/Investment Purposes Only - INVESTMENT IN RESTAURANT BUSINESSES. PASSIVE INCOME, NOT ACTIVELY PARTICIPATING. - Not INV Related - At Pleasanton, CA - Start Date 01/01/2024 - 0hrs/mth - 0hrs During Trading 5) 01/08/2025 - LI DONG - Mortgage/Real Estate Services - HELP REAL ESTATE CLIENTS TO OBTAIN MORTGAGE FOR HOME PURCHASES OR REFINANCING - INV Related - At Pleasanton, CA - Start Date 08/11/2023 - 10hrs/mth - 0hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Li Dong Dong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Li Dong Dong'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®
CFP®
Start date: 2018
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110Office #2: 4695 Chabot Dr Ste 200, Room 220, Pleasanton, CA 94588RIA
BD
CRD#: 8733
SAN JOSE, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110Office #2: 4695 Chabot Dr Ste 200, Room 220, Pleasanton, CA 94588RIA
BD
CRD#: 8733
SAN JOSE, CA
Past
July 17, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN JOSE, CA
Past
July 17, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN JOSE, CA
Past
November 15, 2017 - July 16, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ALVISO, CA
Past
November 3, 2017 - July 16, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ALVISO, CA
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
Arkansas(8/9/2025)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Hawaii(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
South Carolina(8/20/2025)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Washington(11/14/2024)
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.
