Mario Sclafani
Mario Sclafani is a registered investment advisor at LPL Enterprise, LLC, based in Shelton, CT, with 16 years of industry experience. Mario operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1 Corporate Drive, Suite 205, Shelton, CT, 06484
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Regulatory History (4)
Customer Dispute
December 2025Financial
May 2020Customer Dispute
November 2018Judgment / Lien
October 2013Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
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St. Bernard Financial Services, INC.Broker
St. Bernard Financial Services, INC.Broker
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Syndicated Capital, INC.Broker
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Brookstreet Securities CorporationBroker
Garden State Securities, INC.Broker
Mercer Capital LTD.Broker
Essex & York, INC.Broker
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S.W. Bach & CompanyBroker
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State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.