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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JO LAURIE SCHMELTZER

Advisor at LPL ENTERPRISE, LLC

SAN JOSE, CA

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Search this name across graphsid dfx:ria:89c35ab2-9ac5-ac1e-1579-b23b01bd7c57

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: May 10, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 9, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 9, 1995
First registration: May 10, 2006
Dual registered: yes, broker-dealer
Other names: JO LAURIE SCHMELTZER|JoLaurie Schmeltzer|JO LAURIE SCHMELTZER
IAPD individual key: 2615220

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	SAN JOSE, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Jun 16, 2023	Nov 14, 2024	no	SAN JOSE, CA\|San Mateo, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Dec 12, 2022	Mar 20, 2023	no	SAN JOSE, CA	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Jul 27, 2021	Dec 8, 2022	no	Carpinteria, CA\|Campbell, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 22, 2019	Dec 16, 2019	no	ARLINGTON, VA\|Cupertino, CA	Previous registration
CUE FINANCIAL GROUP, INC.	Former SEC adviser	May 22, 2013	Dec 31, 2017	no	SCOTTSDALE, AZ	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 20, 2010	May 24, 2011	no	SAN FRANCISCO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 10, 2006	Sep 24, 2010	no	FREMONT, CA\|MILPITAS, CA\|SAN JOSE, CA\|SAN MATEO, CA\|REDWOOD CITY, CA\|FREMONT, CA\|SANTA CLARA, CA\|SANTA CRUZ, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
CETERA INVESTMENT ADVISERS LLC	PRUCO SECURITIES, LLC	Mar 20, 2023	Jun 16, 2023	88	Firm change	Ibd to ibd
PLANMEMBER SECURITIES CORPORATION	CETERA INVESTMENT ADVISERS LLC	Dec 8, 2022	Dec 12, 2022	4	Firm change	RIA to ibd
E*TRADE CAPITAL MANAGEMENT, LLC	PLANMEMBER SECURITIES CORPORATION	Dec 16, 2019	Jul 27, 2021	589	Firm change after gap	RIA to RIA
CUE FINANCIAL GROUP, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Dec 31, 2017	Jul 22, 2019	568	Firm change after gap	Other
WOODBURY FINANCIAL SERVICES, INC.	CUE FINANCIAL GROUP, INC.	May 24, 2011	May 22, 2013	729	Firm change after gap	Other
CUSO FINANCIAL SERVICES, L.P.	WOODBURY FINANCIAL SERVICES, INC.	Sep 24, 2010	Oct 20, 2010	26	Firm change	Other

Relationships

Registered with (8)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 16, 2023 to Nov 14, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Dec 12, 2022 to Mar 20, 2023factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 27, 2021 to Dec 8, 2022factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 22, 2019 to Dec 16, 2019factForm ADV
→ CUE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
May 22, 2013 to Dec 31, 2017factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2010 to May 24, 2011factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 10, 2006 to Sep 24, 2010factForm ADV

Dated events

Occurred
Mar 20, 2023
Advisor changed firm
Jo Laurie Schmeltzer left Cetera Investment Advisers Llc for Pruco Securities, Llc (registered 2023-06-16)
Form ADVobserved 6 days ago
Occurred
Dec 8, 2022
Advisor changed firm
Jo Laurie Schmeltzer left Planmember Securities Corporation for Cetera Investment Advisers Llc (registered 2022-12-12)
Form ADVobserved 6 days ago