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Christopher Lee Maxwell

LPl Enterprise, LLC

Crystal Lake, IL

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

7115 Virginia Road Suite 117, Crystal Lake, IL 60014 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Crystal Lake IL 08/2016 11/2024
Prudential Insurance Company Of America Crystal Lake IL 08/2016 Present
Lpl Enterprise, Llc Crystal Lake IL 11/2024 Present
Previous Registrations
  • 2017-04-29 → 2024-11-14
    Downers Grove, IL
    Crystal Lake, IL
  • 2005-07-06 → 2009-01-02
    Chase Investment Services Corp.
    Chicago, IL
    Park Ridge, IL
    Naperville, IL
  • 2003-02-12 → 2005-07-06
    Banc One Securities Corporation
    Park Ridge, IL
Other Businesses

1. 9/9/2024:Trustee of Family Trust~85 Sherbon Lane, Crystal Lake, IL 60014~Family Trust~N~Trustee & POA~01/15/2017~1 hrs/mo~0 trading hrs/mo 2) 12/24/2024- Prudential Advisors- Non-Variable Insurance- Fixed Life Insurance Sales and Service- Inv. related - at Crystal Lake, IL- start date 11/15/2024- 10hrs/mnth-10hrs during trading 3) 12/23/2024- Prudential Advisors- Non-Variable Insurance Commission Trails- Life Insurance Ongoing Service- inv. related- at Crystal Lake, IL- start date 11/15/2024- 0hrs/mnth-0hrs during trading 4) 12/24/2024- Liberty Mutual- Property and Casualty- Property and Casualty Sales and Service- inv. related - at Crystal Lake, IL- start date 11/15/2024- 5hrs/mnth-5hrs during trading 5) 12/24/2024- Crump/Ash - Non Proprietary- Non-Variable Insurance- Fixed Life Insurance & Annuity Sales thru Crump/Ash as a Broker-inv. related - at Crystal Lake, IL- start date 11/15/2024- hrs/mnth-5hrs during trading 6) 12/17/2024- Christopher Maxwell- Property and Casualty- Property & Casualty Sales paid by 1099 furnished thru Robertson & Robertson- inv. related - at Crystal Lake, IL- start date 11/15/2024- 1hr/mnth-1hr during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-29
S63 Uniform Securities Agent State Law Examination 2000-07-27
  • S65 Uniform Investment Adviser Law Examination
    2017-04-29
  • S63 Uniform Securities Agent State Law Examination
    2000-07-27
Other Names
  • Christopher Lee Maxwell
  • Chris Maxwell
  • Christopher Maxwell

View on SEC IAPD

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