Best Investors Account Sign in

Nicole Rogers

LPl Enterprise, LLC

Syracuse, NY

Williamsville, NY

Claim This Profile
Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

500 Plum St Ste 301, Syracuse, NY 13204 • United States

100 College Parkway Suite 220, Williamsville, NY 14221 • 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
John Hancock Williamsville NY 05/1999 11/2018
Prudential Insurance Company Of America Amherst NY 12/2018 Present
Pruco Securities, Llc. Amherst NY 12/2018 11/2024
Lpl Enterprise, Llc Williamsville NY 11/2024 Present
  • 05/1999 → 11/2018
    John Hancock
    Williamsville, NY
  • 12/2018 → Present
    Prudential Insurance Company Of America
    Amherst, NY
  • 12/2018 → 11/2024
    Pruco Securities, Llc.
    Amherst, NY
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Williamsville, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1999-12-27
Other Names
  • N Rogers

View on SEC IAPD

Other Firms

RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
COMMONWEALTH FINANCIAL NETWORK
CHARLES SCHWAB & CO., INC.
STRATEGIC FINANCIAL SERVICES
R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS
JANNEY MONTGOMERY SCOTT LLC

Other Investors

Eric Petranchuk
CAROL ANNE DOYLE
PHILIP E DEAN
Lea Brigitte DiGiovanni
J DANIEL PLUFF
FRANK PRIOR ARKINSON
THEODORE FRANK BINDER
MARCIA T. IRVIN

Other Offices

RBC CAPITAL MARKETS, LLC · SYRACUSE, NY
AMERIPRISE FINANCIAL SERVICES, LLC · SYRACUSE, NY
EAGLE STRATEGIES LLC · DEWITT, NY
EAGLE STRATEGIES LLC · DEWITT, NY
COMMONWEALTH FINANCIAL NETWORK · DeWitt, NY
CHARLES SCHWAB & CO., INC. · Dewitt, NY
STRATEGIC FINANCIAL SERVICES · Syracuse, NY
EAGLE STRATEGIES LLC · DEWITT, NY

More in Syracuse, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor