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Ricky Payton Wallace

LPL Enterprise, LLC

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About Ricky Payton Wallace

Ricky Wallace is a financial advisor with over 35 years of experience in the industry. Ricky has a strong background in the securities industry, having worked with Pruco Securities, LLC, and The Prudential Insurance Company of America. Ricky currently works for LPL Enterprise, LLC and is registered to provide investment advice in Florida. Ricky holds Series 6, 7, 63, and 65 licenses, along with the SIE. Ricky's focus is on providing consulting and other non-discretionary advisory services, financial planning, and portfolio management.

Firm Information

Ricky Wallace 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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Ricky Wallace’s Registration & Firm History

FL

11/20/2024 - Present

LPL Enterprise, LLC (TAMPA FL)

NY

05/14/2001 - 06/07/2001

NEW ENGLAND SECURITIES (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/19/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/2002

Series 7 - General Securities Representative Examination

BC

Issued 06/09/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Ricky Payton Wallace. Review regulatory record here.
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