Frank J. Gorshin
Professional summary
Being a previously registered professional could mean that this person 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.
Frank J Gorshin, who also goes by Frank H Gorshin, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1977. Frank had worked at 11 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2010 - November 7, 2012
LPL ENTERPRISE, LLC
April 12, 2005 - May 15, 2008
FORTUNE FINANCIAL SERVICES, INC.
December 1, 2003 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
December 9, 1999 - August 6, 2003
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
November 3, 1995 - December 7, 1998
ALLEGHENY INVESTMENTS, LTD.
April 21, 1995 - November 2, 1995
OPPENHEIMER & CO. INC.
April 13, 1994 - March 2, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 13, 1994 - March 2, 1995
SIGNATOR INVESTORS, INC.
December 15, 1993 - March 21, 1994
CINCINNATI ANALYSTS, INC.
April 11, 1992 - February 2, 1993
TOWER SQUARE SECURITIES, INC.
October 29, 1990 - April 1, 1992
WALNUT STREET SECURITIES, INC.
August 2, 1977 - October 19, 1990
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/25/1977
Registered Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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.
