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Subir Kumar Barua

LPL Enterprise, LLC

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About Subir Kumar Barua

Subir Kumar Barua is an investment advisor representative registered with LPL Enterprise, LLC. Subir has been in the financial industry since January 6, 1994 and holds multiple securities licenses, including Series 6, 7, 63, and 65. Subir is registered with the following states: Florida, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Tennessee, and Washington. Subir's firm provides a range of advisory services, including portfolio management for individuals and businesses, financial planning, and educational seminars.

Firm Information

Subir Barua 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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Subir Barua’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (SYRACUSE NY)

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Licenses & Designations

IA

Issued 05/20/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/06/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/01/2006

Series 7 - General Securities Representative Examination

BC

Issued 01/06/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Subir Kumar Barua. Review regulatory record here.
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