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Ashok Rajan

LPL Enterprise, LLC

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About Ashok Rajan

Ashok Rajan is a financial professional with over 30 years of experience in the financial services industry. Ashok has a strong background in providing wealth management and investment advisory services to clients. Ashok is currently registered with LPL Enterprise, LLC. In addition to the experience at LPL Enterprise, LLC, Ashok has prior experience with Janney Montgomery Scott LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Investment Management Services LLC, Prudential Securities Incorporated, and Dean Witter Reynolds Inc. Ashok is committed to providing personalized financial advice and helping clients achieve their financial goals.

Firm Information

Ashok Rajan is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ashok Rajan’s Registration & Firm History

NJ

11/14/2024 - Present

LPL Enterprise, LLC (EAST BRUNSWICK NJ)

NJ

03/08/2016 - 02/06/2020

JANNEY MONTGOMERY SCOTT LLC (BEDMINSTER NJ)

NY

06/09/2006 - 11/01/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

07/07/2003 - 10/10/2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NY

02/22/2002 - 03/24/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

08/16/1993 - 02/04/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

02/26/1987 - 09/28/1993

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 03/02/2016

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 07/01/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/20/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ashok Rajan.
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