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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-22
NY RA APPROVED 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2025-10-22
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

3136 Nys Rte 207 Suite 103, Campbell Hall, NY 10916 • United States

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Equity Services, Inc. Montpelier VT 08/2015 12/2023
National Life White Plains NY 08/2015 12/2023
The Prudential Insurance Co. Of America New York NY 01/2024 Present
Pruco Securities, Llc New York NY 01/2024 11/2024
Lpl Enterprise, Llc New York NY 11/2024 Present
Previous Registrations
  • 2024-01-04 → 2024-11-14
    New York, NY
    Campbell Hall, NY
  • 2021-06-22 → 2023-12-20
    Goshen, NY
    White Plains, NY
    Goshen, NY
    Goshen, NY
    Campbell Hall, NY
    White Plains, NY
    Latham, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-12-24
  • S63 Uniform Securities Agent State Law Examination
    2005-12-24

View on SEC IAPD

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