Duane Eugene Umphress
Investment adviser representative at LPL Enterprise, LLC
14 yearsExperience
1 stateRegistered in
$24.9BFirm assets
2 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
14 years in the industry.
- LPL Enterprise, LLCNov 2024 to now
- The Prudential Insurance Company of AmericaSep 2023 to now
- Pruco Securities LLCSep 2023 to Nov 2024
- Golden ReserveMay 2023 to Aug 2023
- Harbor GroupJan 2020 to Feb 2020
- JP Morgan Securities LLCDec 2019 to Apr 2023
- JPMorgan Securities LLCAug 2018 to Dec 2019
- JP Morgan Chase Bank NAOct 2012 to Aug 2018
Exams passed
- Series 66 · Uniform Combined State Law2019
State registrations
Registered as an investment adviser representative in 1 state (OH).
LPL Enterprise, LLC
$24.9BAssets managed
102,563Clients
3,116Advisers
2 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7016717
- Firm CRD
- 8733