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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

8888 Keystone Crossing Suite 500, Indianapolis, IN 46240 • United States

Indianapolis, IN • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Indianapolis IN 12/2015 08/2022
Park Avenue Securities Indianapolis IN 02/2016 08/2022
The Prudential Insurance Company Of America Indianapolis IN 08/2022 Present
Pruco Securities Llc Indianapolis IN 08/2022 11/2024
Lpl Enterprise, Llc Indianapolis IN 11/2024 Present
  • 12/2015 → 08/2022
    Guardian Life Insurance
    Indianapolis, IN
  • 02/2016 → 08/2022
    Park Avenue Securities
    Indianapolis, IN
  • 08/2022 → Present
    The Prudential Insurance Company Of America
    Indianapolis, IN
  • 08/2022 → 11/2024
    Indianapolis, IN
  • 11/2024 → Present
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-12-08
S63 Uniform Securities Agent State Law Examination 2002-04-05
  • S65 Uniform Investment Adviser Law Examination
    2023-12-08
  • S63 Uniform Securities Agent State Law Examination
    2002-04-05

View on SEC IAPD

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