Steve Francis Ricci

Current Employers

Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-11-14

PA RA
APPROVED

Since 2024-11-14

Branch Locations

2700 Kelly Road Suite 100D, Warrington, PA 18976 • United States

Collegeville, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Prudential Insurance Company Of America	Collegeville	PA	11/1987	Present
Pruco Securities, Llc.	Collegeville	PA	11/1987	11/2024
Lpl Enterprise, Llc	Collegeville	PA	11/2024	Present

11/1987 → Present

Prudential Insurance Company Of America

Collegeville, PA
11/1987 → 11/2024

Pruco Securities, Llc.

Collegeville, PA
11/2024 → Present

Lpl Enterprise, Llc

Collegeville, PA

Previous Registrations

2011-09-13 → 2024-11-14

Pruco Securities, Llc.

Collegeville, PA

Chalfont, PA

Warrington, PA

Collegeville, PA

Warrington, PA

Collegeville, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-18
S63	Uniform Securities Agent State Law Examination	1988-04-04

S65 Uniform Investment Adviser Law Examination

2001-01-18
S63 Uniform Securities Agent State Law Examination

1988-04-04