DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

STEPHANIE SHERMAN

Advisor at LPL ENTERPRISE, LLC

WEST PALM BEACH, FL | BEDMINSTER, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:98559bc2-083d-3c9c-c5d2-b3cdd4230870

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 7, 2002 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: Apr 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Apr 12, 1999
First registration: Jun 7, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2998998

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	BEDMINSTER, NJ\|WEST PALM BEACH, FL	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Apr 28, 2003	Nov 14, 2024	no	WHIPPANY, NJ\|NEWARK, NJ\|WHIPPANY, NJ\|WHIPPANY, NJ\|EAST HANOVER, NJ\|NEWARK, NJ\|ROCKAWAY, NJ\|Basking Ridge, NJ\|Newark, NJ\|Rockaway, NJ\|ROCKAWAY, NJ\|West Palm Beach, FL\|West Palm Beach, FL\|Basking Ridge, NJ\|West Palm Beach, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 7, 2002	Mar 18, 2003	no	WEEHAWKEN, NJ	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
UBS FINANCIAL SERVICES INC.	PRUCO SECURITIES, LLC	Mar 18, 2003	Apr 28, 2003	41	Firm change	Other

Relationships

Registered with (3)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 28, 2003 to Nov 14, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 7, 2002 to Mar 18, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98559bc2-083d-3c9c-c5d2-b3cdd4230870
First observed: Jun 7, 2002
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STEPHANIE SHERMAN

Advisor at LPL ENTERPRISE, LLC

WEST PALM BEACH, FL | BEDMINSTER, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:98559bc2-083d-3c9c-c5d2-b3cdd4230870

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL ENTERPRISE, LLC

Bd affiliated wealth

Nov 14, 2024

n/a

yes

BEDMINSTER, NJ|WEST PALM BEACH, FL

Current employment

PRUCO SECURITIES, LLC

No RAUM reported

Apr 28, 2003

Nov 14, 2024

Previous registration

UBS FINANCIAL SERVICES INC.

Wirehouse

Jun 7, 2002

Mar 18, 2003

WEEHAWKEN, NJ

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

PRUCO SECURITIES, LLC

LPL ENTERPRISE, LLC

Nov 14, 2024

Bulk transfer

Ibd to new firm

UBS FINANCIAL SERVICES INC.

PRUCO SECURITIES, LLC

Mar 18, 2003

Apr 28, 2003

Firm change

Other