JV
Joshua Vallejos
LPL ENTERPRISE
BEDMINSTER, NJ 07921
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CRD#: 7577310
JV
Joshua VallejosLPL ENTERPRISE
Professional summary
Joshua Vallejos, who also goes by Joshua P Vallejos, Joshua Vallejos, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Bedminster, New Jersey.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Joshua has worked at 4 firms and has passed the Series 66, Series 65, Series 7TO and SIE exams.
Aliases
Joshua P Vallejos | Joshua Vallejos
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. 5/14/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Elizabeth NJ - OBA Start date: 04/23/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 2. 5/14/2026 - JOSHUA VALLEJOS, N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Elizabeth FL - OBA Start Date: 04/23/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Vallejos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Vallejos'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
May 19, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 135 Us Highway 202/206 Suite 3, Bedminster, NJ 07921RIA
BD
CRD#: 8733
BEDMINSTER, NJ
Current
May 18, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 135 Us Highway 202/206 Suite 3, Bedminster, NJ 07921RIA
BD
CRD#: 8733
BEDMINSTER, NJ
Past
July 3, 2025 - April 16, 2026
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
Scotch Plains, NJ
Past
July 3, 2025 - April 16, 2026
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
NEW YORK, NY
Past
June 21, 2024 - June 5, 2025
EDWARD JONES
RIA
CRD#: 250
CRANFORD, NJ
Past
June 21, 2024 - June 5, 2025
EDWARD JONES
BD
CRD#: 250
CRANFORD, NJ
Past
October 28, 2022 - June 21, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BERKELEY HEIGHTS, NJ
Past
September 12, 2022 - June 21, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BERKELEY HEIGHTS, NJ
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
New Jersey(5/18/2026)
IAR
New Jersey(5/19/2026)
RR
New York(5/18/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 9/12/2022
General Securities Representative ExaminationGeneral 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
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.
