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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-11-14 |
Branch Locations
205 Washington St, Arcadia, WI 54612 • United States
600 Highway 169 Suite 1000, St Louis Park, MN 55426 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Arcadia | WI | 03/1992 | Present |
| Pruco Securities, Llc. | Arcadia | WI | 03/1992 | 11/2024 |
| Lpl Enterprise, Llc | Arcadia | WI | 11/2024 | Present |
1) 10/11/2024- Arcadia Community Chest- Non-Profit Board Member- Raise funds from the community to then distribute to various local charitable organizations- Not INV Related- At Arcadia, WA- Start date 01/01/2017- 0 HRS MTH- 0 HRS During Trading 2) 10/10/2024- Sobotta Financial- Non-Variable Insurance- Service of small book of business outside of LPL & Prudential- INV Related- At Arcadia, WA- Start date 12/01/1994- 1 HRS MTH- 1 HRS During Trading 3) 10/10/2024- Notary- provide free notary service- Not INV Related- At Arcadia, WA- Start date 04/08/1992- 1 HRS MTH- 1 HRS During Trading 4) 09/23/2024- Sobotta Financial- Non-Variable Insurance Commission Trails- Trails on small book of Non-Variable business, Sobotta Financial- INV Related- At Arcadia, WA- Start date 01/01/2016- 0 HRS MTH- 0 HRS During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-28 |
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