Caroline Louise Rearick

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-11-14

PA RA
APPROVED

Since 2024-11-14

Branch Locations

2009 Mackenzie Way Ste 100 Pmb 188, Cranberry Township, PA 16066 • United States

Dubois, PA • 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

Organization	City	State	From	To
Pruco Securities, Llc.	Dubois	PA	11/1996	11/2024
Lpl Enterprise, Llc	Dubois	PA	11/2024	Present

11/1996 → 11/2024

Pruco Securities, Llc.

Dubois, PA
11/2024 → Present

Lpl Enterprise, Llc

Dubois, PA

Previous Registrations

2011-09-13 → 2024-11-14

Pruco Securities, Llc.

Du Bois, PA

Dubois, PA

Canonsburg, PA

Dubois, PA

Dubois, PA

Other Businesses

1) 12/06/2024-Encompass Financial, LLC-Owner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 12/02/2016-160hrs/mth-160hrs/mth during trading 2) 11/17/2025-Prudential Advisors-Financial Planner-Property and Casualty-Inv related-At Du Bois, PA-Start date 03/03/2022-2hrs/mth-2hrs/mth during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-04-07
S63	Uniform Securities Agent State Law Examination	1997-01-27

S65 Uniform Investment Adviser Law Examination

2001-04-07
S63 Uniform Securities Agent State Law Examination

1997-01-27

View on SEC IAPD