Stephen Cooley

Financial advisor at Lpl Enterprise, LLC

Last updated 2026-10-10

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Stephen Cooley is a financial advisor at Lpl Enterprise, LLC, CRD 7939441. Licenses and exams on the registration: Series 66. IAPD registration began 2024-09-10.

Registration

CRD number
7939441
Registration status
Active
IAPD registration
2024-09-10
Industry Experience
2 years
Work Experience
10 years
States registered
NY

Licenses and exams

  • Series 66

Work history

  • 2024-05 to 2024-11 · Pruco Securities LLC · White Plains, NY
  • 2024-03 to 2024-03 · Milton Point Provisions · Rye, NY
  • 2020-08 to 2024-03 · Billy & Pete Group · Larchmont, NY
  • 2019-09 to 2020-08 · Unemployed · Larchmont, NY
  • 2017-11 to 2019-08 · Unemployed · Paris
  • 2017-09 to 2017-11 · Le Taillevent · Paris
  • 2024-03 to 2024-05 · Unemployed · Mamaroneck, NY
  • 2016-09 to 2017-08 · Le Cordon Bleu · Paris
  • 2024-09 to Present · The Prudential Insurance Company of America · White Plains, NY
  • 2024-11 to Present · Lpl Enterprise, LLC · White Plains, NY

Current employment

SEC IAPD record for Stephen Cooley

Lpl Enterprise, LLC

Regulatory AUM
$24,939,385,373
Registered advisors
3,117
Offices
1,496
Clients per advisor
32.9 (Low)
Average AUM per client
$243.2K (Low)
High-net-worth client ratio
22.3% (Moderate)

Lpl Enterprise, LLC: advisors, services and reported ETF investments

About

Stephen Cooley is a financial advisor at Lpl Enterprise, LLC. Reported securities licenses include Series 66. The latest record indicates 2 years of industry experience and 10 years of reported work history.

Lpl Enterprise, LLC's firm-level Form ADV reports 3,117 advisors across 1,496 offices; approximately 32.9 clients per advisor, average assets per client of $243,162, and regulatory AUM of $24.9B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, and Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Educational Seminars or Workshops, and Other Advisory Service.

What this firm offers

Filed by Lpl Enterprise, LLC on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Educational Seminars or Workshops
  • Other Advisory Service

Fee options

  • Percentage of Assets Under Management
  • Hourly Charges
  • Fixed Fees (Other Than Subscription)

Business and affiliations

  • Broker-Dealer (Registered or Unregistered)
  • Other Financial Product Salesperson
  • Engaged in Other Business
  • Sells Non-Advisory Products or Services
  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Banking or Thrift Institution
  • Insurance Company or Agency

Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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