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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-11-14 |
Branch Locations
475 Kilvert Street Suite 135, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Warwick | RI | 05/1996 | 11/2024 |
| Prudential Insurance Company Of America | Warwick | RI | 05/1996 | Present |
| Lpl Enterprise, Llc | Warwick | RI | 11/2024 | Present |
1) 11/12/2024 - C&C Pond Realty Management, LLC - Rental Property, 1073 Stafford Rd, Tiverton RI, 02878 - Real Estate Rental - Inv Related - At WARWICK, RI - Start Date 05/18/2024 - 3hrs/mth - 0hrs/mth During Trading 2) 11/12/2024 - C&C River Realty Management, LLC - Rental Property, 36 Lark St, Fall River MA 02721 - Real Estate Rental - Inv Related - At WARWICK, RI - Start Date 04/24/2023 - 2hrs/mth - 0hrs/mth During Trading 3) 11/11/2024 - Maplewood Independent Youth Baseball League, Inc - Non-Profit Youth Baseball Organization. Schedule, attend, and keep minutes of meeting. Schedule Games and Events. Organize Annual Opening Ceremony and Banquet. Organize managers and coaches for season along with coaching. Schedule Umpires - Non-Profit Board Member - Non Inv Related - At WARWICK, RI - Start Date 01/01/2000 - 12hrs/mth - 0hrs/mth During Trading 4) 03/12/2025- Sean Paul Travis- Non-Variable Insurance/Insurance Agency- inv. related- at Warwick, RI- start date 02/24/2025- 5hrs/mnth-0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-25 |
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