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Blake Chambers

CRD# 7617671·Registered 2022 - 2024
Previously Registered: Being a previously registered professional could mean that Blake is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Blake Chambers was a registered financial advisor. Blake was a previously registered financial professional and started their career in finance 2022 - 2024. Blake had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

4 years in the financial services industry

Current & Past Employments

LPL ENTERPRISE, LLC·CRD# 8733
RIA
Wauwatosa, WI
November 14, 2024 - December 16, 2024
LPL ENTERPRISE, LLC·CRD# 8733
BD
Wauwatosa, WI
November 14, 2024 - December 16, 2024
PRUCO SECURITIES, LLC.·CRD# 5685
RIA
Wauwatosa, WI
November 3, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Wauwatosa, WI
October 3, 2022 - November 14, 2024

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (7/1/2026)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER—
EVANGELIOU, KIRIAKOS ANDREASSVP, CHIEF COMPLIANCE OFFICER2496177
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742

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 DateForm ADV-E CoverForm ADV-E Report
08/28/2026Cover PageReport
06/25/2025Cover PageReport

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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.

WALGREENS POSITION: Shift Lead NATURE: Retail Sales INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 24 START DATE: 09/25/2023 ADDRESS: 2575 Main St, Cross Plains WI 53528, United States DESCRIPTION: Opens and closes the store in the absence of store management, including all required systems start-ups, required cash handling, and ensuring the floor and stock room are ready for the business day. Responsible for opening back door of store for deliveries. Completes product returns, order voids, customer refunds, cash drops to the safe, and provides change as requested to cash registers. Operations: Responsible for holding store keys to open and close without management as necessary. Responsible and accountable for registering all related sales on assigned cash register, including records of scanning errors, price verifications, items not on file, price modifications, and voids. Assists manager or assistant store manager in reviewing order exceptions on order release day and assists in reverse logistics (e.g., 1506, returns, empty package). Assists manager or assistant store manager in evaluating and developing displays, including promotional, seasonal, super structures, and sale merchandise. Completes resets and revisions. Maintains accurate inventory counts; maintains the accuracy of on-hand quantities including, but not limited to, basic departments, stockroom, and overstock locations. Assist with ensuring the Outdate program is followed with team members. Responsible for basic department pricing and making daily price changes; ensures proper signage is displayed at the store to support accurate pricing of products. Ensures any additional pricing tasks related to local regulations and/or regulatory compliance programs are completed accurately and within the required time frame. Assist with bookkeeping activities, including cash report, cash counts, ledgers, and bill payment as necessary or as requested. Assists with exterior and interior maintenance by ensuring clean, neat, orderly store condition and appearance, including requesting store or system repairs as required in manager absence, or as requested by manager. Assist at Pharmacy out window as requested. Ensures compliance with state and local laws regarding regulated products (e.g., alcoholic beverages and tobacco products). Responsible for bag checks of team members before leaving the store. Complies with all company policies and procedures; maintains respectful relationships with coworkers. Completes special assignments and other tasks as assigned. Training & Personal Development Attends training and completes PPLs requested by Manager. Obtains and maintains valid PTCB certification or pharmacy license as required by state. Communications Serves as a liaison between management and non-management team members by communicating assigned tasks to team members when store management is not present. Reports disciplinary issues and customer complaints to management.

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2022About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Oct 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Jul 2022About the SIE exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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