SW
Steven C. Wulin
LPL ENTERPRISE
PARAMUS, NJ 07652
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CRD#: 819807
SW
Professional summary
Steven Christophe Wulin is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Paramus, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Steven has worked at 3 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 1 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.
1) 01/08/2025- LeTip of Hackensack- This is a group of business people who meet Wednesday mornings from 7:00 AM to 8:30 AM. Every week 3 members speak about what they do. As "program director" I arrange the speaking schedule- Other- Not INV Related- Paramus, NJ- Start Date 03/27/2002- 6hrs/mth- 0hrs during trading 2) 03/26/2025- Self - Non-Variable Insurance- i enroll people in Medicare Supplements and I get paid commissions for it. (PS, don't know what "paid at Carrier Level" below means) - inv. related- at Paramus, NJ- start date 06/01/2023-5hrs/mnth-3hrs during trading 3) 03/19/2025- Plymouth Rock Prop & Cas.- Property and Casualty- Sell & Service personal lines Prop. & Casualty, EG: auto, home and umbrella liability ins.- inv. related- at Lincroft, NJ- start date 04/02/1973- 50hrs/mnth-40hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Steven Christophe Wulin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Christophe Wulin'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: 11 Sunflower Avenue Suite 2000, Paramus, NJ 07652RIA
BD
CRD#: 8733
PARAMUS, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 11 Sunflower Avenue Suite 2000, Paramus, NJ 07652RIA
BD
CRD#: 8733
PARAMUS, NJ
Past
June 21, 2002 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
PARAMUS, NJ
Past
February 18, 1982 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
PARAMUS, NJ
Past
March 22, 1976 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, 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
Delaware(5/7/2025)
RR
Florida(11/15/2024)
RR
Massachusetts(7/18/2025)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(1/2/2025)
RR
North Carolina(7/18/2025)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(4/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/18/1976
Registered Representative ExaminationSRO 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.
