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Ben Johnson

LPl Enterprise, LLC

City Of Industry, CA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

17700 Castleton Street Suite 378, City Of Industry, CA 91748 • 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
OrganizationCityStateFromTo
Prudential Insurance Company Of America City Of Industry CA 07/1989 Present
Pruco Securities, Llc. City Of Industry CA 07/1989 11/2024
Lpl Enterprise, Llc Irvine CA 11/2024 Present
Previous Registrations
  • 2001-07-30 → 2024-11-14
    Pruco Securities, Llc.
    City Of Industry, CA
    Brea, CA
    Brea, CA
    Irvine, CA
    City Of Industry, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-31
S63 Uniform Securities Agent State Law Examination 1991-02-20
  • S65 Uniform Investment Adviser Law Examination
    2001-03-31
  • S63 Uniform Securities Agent State Law Examination
    1991-02-20

View on SEC IAPD

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Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · City of Industry, CA
CETERA INVESTMENT ADVISERS LLC · CITY OF INDUSTRY, CA
CITIGROUP GLOBAL MARKETS INC. · City of Industry, CA
WELLS FARGO CLEARING SERVICES, LLC · CITY OF INDUSTRY, CA
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