AM
Anne Morgan Salpeter
LPL ENTERPRISE
DOWNERS GROVE, IL 60515
Some features on this profile are disabled
CRD#: 6905402
AM
Professional summary
Anne Morgan Salpeter, who also goes by Hadley Finch, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Downers Grove, Illinois.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Anne 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
Hadley Finch
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.
AIRBNB GUEST STAYS IN MY HOME POSITION: homeowner, super host NATURE: airbnb guest stays in my home INVESTMENT RELATED: No NUMBER OF HOURS: 28 SECURITIES TRADING HOURS: 0 START DATE: 05/16/2019 ADDRESS: 803 Merry Lane, Oak Brook IL 60523, United States DESCRIPTION: Provide guestsuites and breakfast foods for airbnb guests AMUSIN ENTERTAINMENT, INC POSITION: owner NATURE: sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2008 ADDRESS: 803 Merry Lane, Oak Brook IL 60523, United States DESCRIPTION: Write 4 blog articles per month on non-investment topics PRINCIPAL GROUP BENEFITS POSITION: Advisor of record NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/07/2021 ADDRESS: 711 High St., Des Moine IA 50392, United States DESCRIPTION: I help design group benefits plans for my clients who own or manage closely-held businesses
CRS (Client Relationship Summary) - RIA
Click below to view Anne Morgan Salpeter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anne Morgan Salpeter'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: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Past
May 1, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
February 26, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
October 30, 2018 - March 5, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OAK BROOK, IL
Past
July 2, 2018 - March 5, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
OAK BROOK, IL
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
District of Columbia(11/14/2024)
IAR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Texas(11/14/2024)
RR
West Virginia(7/8/2025)
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.
