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Kenneth William Hakes

LPl Enterprise, LLC

Warrington, PA

Williamsport, PA

CRD 1994678

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14

Branch Locations

2700 Kelly Road Suite 100D, Warrington, PA 18976 • United States

Williamsport, PA • 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. Williamsport PA 09/1989 11/2024
Lpl Enterprise, Llc Williamsport PA 11/2024 Present
Previous Registrations
  • 2011-09-07 → 2024-11-14
    Pruco Securities, Llc.
    Pennsdale, PA
    Williamsport, PA
    Williamsport, PA
    Williamsport, PA
    Warrington, PA
    Williamsport, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-28
S63 Uniform Securities Agent State Law Examination 1989-11-22
  • S65 Uniform Investment Adviser Law Examination
    2002-01-28
  • S63 Uniform Securities Agent State Law Examination
    1989-11-22
Other Names
  • Ken Hakes

View on SEC IAPD

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