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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-14 |
Branch Locations
Santa Cruz, CA • United States
1731 Technology Dr Suite 600, San Jose, CA 95110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | San Jose | CA | 07/1989 | Present |
| Pruco Securities, Llc. | San Jose | CA | 07/1989 | 11/2024 |
| Lpl Enterprise, Llc | San Jose | CA | 11/2024 | Present |
1) 09/20/2024 - Edward Madden - Act as Insurance Agent Broker for Individuals and Small Businesses, Non-Variable Insurance - Inv Related - At San Jose, CA - Start date, 01/09/2015-12hrs/mth - 0hrs during trading 2) 09/20/2024 - Dorothy M Madden - Act in a Fiduciary Capacity - Non Inv Related - At San Jose, CA - Start date 04/03/2018-10hrs/mth - 0hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-21 |
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