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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

119 South Kennedy Drive, Bradley, IL 60915 • United States

16520 106Th Ct, Orland Park, IL 60467 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities Llc Orland Park IL 10/1987 11/2024
Prudential Insurance Company Of America Orland Park IL 01/2007 Present
Lpl Enterprise, Llc Bradley IL 11/2024 Present
Previous Registrations
  • 2002-03-19 → 2024-11-14
    Frankfort, IL
    Tinley Park, IL
    Bradley, IL
    Frankfort, IL
    Orland Park, IL
    Bradley, IL
Other Businesses

1) 08/30/2024 - Marianne E Deffenbaugh Irrevocable Trust - Trustee for immediate family - Act in a Fiduciary Capacity - Inv Related - At Port Clinton, OH - Start Date 05/04/2021 - 2hrs/mth - 0hrs/mth During Trading 2) 08/30/2024 - Kathleen A Weinstock Irrevocable Trust - POA for immediate family - Act in a Fiduciary Capacity - Inv Related - At Port Clinton, OH - Start Date 05/04/2021 - 2hrs/mth - 0hrs/mth During Trading 3) 03/13/2025- Financial Advisor- Non-Variable Insurance/Insurance Agency- Financial Advisor for Prudential. Paid at the carrier level. Not an owner. This OBA is for proprietary & nonproprietary fixed insurance sales- inv. related- at Orland Park, IL- start date 11/15/2024- 10hrs/mnth-10hrs during trading 4) 09/13/2024 - Kathleen A Weinstock Living Trust - FP stated in error not a trustee - Act in a Fiduciary Capacity - Inv Related - At Port Clinton, OH - Start Date 04/22/2022 - 2hrs/mth - 0hrs/mth During Trading 5) 09/17/2024 - Minnis Insurance and Financial Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s)- start date 03/21/2011- 32hrs/mnth-32hrs during trading 6) 03/13/2025- Financial Advisor- Property and Casualty- inv. related- at Orland Park, IL- start date 11/15/2024- 10hrs/mnth-10hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-23
S63 Uniform Securities Agent State Law Examination 1991-10-07
  • S65 Uniform Investment Adviser Law Examination
    2001-04-23
  • S63 Uniform Securities Agent State Law Examination
    1991-10-07
Other Names
  • Michael J Minnis

View on SEC IAPD

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