RP
Robert P. Petrocine
LPL ENTERPRISE
VERONA, NJ 07044
Some features on this profile are disabled
CRD#: 707203
RP
Professional summary
Robert Peter Petrocine is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Verona, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Peter Petrocine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Peter Petrocine'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 2, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 25 Pompton Avenue Suite 101, Verona, NJ 07044RIA
BD
CRD#: 8733
VERONA, NJ
Current
March 2, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 25 Pompton Avenue Suite 101, Verona, NJ 07044RIA
BD
CRD#: 8733
VERONA, NJ
Past
January 28, 2020 - February 26, 2026
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
VERONA, NJ
Past
January 28, 2020 - February 26, 2026
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
VERONA, NJ
Past
March 18, 2011 - January 30, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SADDLE BROOK, NJ
Past
March 18, 2011 - January 30, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SADDLE BROOK, NJ
Past
June 1, 2009 - February 28, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SHORT HILLS, NJ
Past
June 1, 2009 - February 28, 2011
MORGAN STANLEY
BD
CRD#: 149777
SHORT HILLS, NJ
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SHORT HILLS, NJ
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SHORT HILLS, NJ
Past
October 3, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SHORT HILLS, NJ
Past
May 23, 1988 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SHORT HILLS, NJ
Past
August 1, 1984 - May 12, 1988
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
March 6, 1984 - September 5, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
February 11, 1982 - April 2, 1984
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
June 16, 1980 - February 14, 1982
NORTHFIELD INVESTMENTS INC.
BD
CRD#: 7621
Past
April 23, 1980 - June 7, 1980
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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(3/3/2026)
RR
Connecticut(3/2/2026)
RR
Florida(3/3/2026)
RR
Georgia(3/3/2026)
RR
Illinois(3/4/2026)
RR
Maryland(3/2/2026)
RR
New Jersey(3/2/2026)
IAR
New Jersey(3/2/2026)
RR
New York(3/2/2026)
RR
North Carolina(3/2/2026)
RR
Ohio(3/2/2026)
RR
Oregon(3/2/2026)
RR
Pennsylvania(3/2/2026)
RR
South Carolina(3/4/2026)
RR
Texas(3/2/2026)
IAR
Texas(3/2/2026)
RR
Washington(3/3/2026)
RR
Wisconsin(3/2/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
