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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

106 N. Main Street Suite C, Horseheads, NY 14845 • United States

950 Danby Road Suite 100F, Ithaca, NY 14850 • United States

23 Main Street Suite 313, Cortland, NY 13045 • 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
Prudential Insurance Company Of America Ithaca NY 08/1988 Present
Pruco Securities, Llc. Ithaca NY 08/1988 11/2024
Lpl Enterprise, Llc Ithaca NY 11/2024 Present
Previous Registrations
  • 2014-02-06 → 2024-11-14
    Cortland, NY
    Cortland, NY
    Ithaca, NY
    Ithaca, NY
    Cortland, NY
Other Businesses

1) 09/04/2024- Talcott Resolution-Non-Variable Insurance-Servicing existing annuity contracts for clients who have an annuity through Talcott. Service only.- INV Related- At Ithaca, NY- Start 08/16/2024- 1 HRS MTH- 1 HRS During Trading 2) 09/04/2024- National Life Insurance Company- Non-Variable Insurance- Sell and service fixed annuity contracts outside the normal platform for some situations.- INV Related- At Ithaca, NY- Start 12/15/2023- 1 HRS MTH- 1 HRS During Trading 3) 09/04/2024-Barbara Sypher- Act in a Fiduciary Capacity- Not INV Related- At Ithaca, NY- Start date 08/02/2007-5 HRS MTH- 4 HRS During Trading 4) 09/04/2024- Grace Christian Fellowship- Non-Profit Board Member- Serve as a board member on this non profit.- Not INV Related- At Ithaca, NY- Start date 01/01/2022-5 HRS MTH- 1 HRS During Trading 5) 09/04/2024- First Symetra National Life Insurance Company of NY through NestEgg Builders brokerage- Non-Variable Insurance- Providing fixed annuity contracts that might otherwise not be available on the platform- INV Related- At Ithaca, NY- Start date 08/08/2022- 1 HRS MTH- 1 HRS During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-13
S63 Uniform Securities Agent State Law Examination 1988-07-25
  • S65 Uniform Investment Adviser Law Examination
    2001-09-13
  • S63 Uniform Securities Agent State Law Examination
    1988-07-25
Designations

View on SEC IAPD

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