Robert J Brown

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-11-18
NJ	RA	APPROVED	2024-11-14

FL RA
APPROVED

Since 2024-11-18
NJ RA
APPROVED

Since 2024-11-14

Branch Locations

Dunedin, FL • 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.	East Brunswick	NJ	02/1997	11/2024
Prudential Insurance Company Of America	East Brunswick	NJ	02/1997	Present
Lpl Enterprise, Llc	Dunedin	FL	11/2024	Present

02/1997 → 11/2024

Pruco Securities, Llc.

East Brunswick, NJ
02/1997 → Present

Prudential Insurance Company Of America

East Brunswick, NJ
11/2024 → Present

Lpl Enterprise, Llc

Dunedin, FL

Previous Registrations

2002-06-21 → 2024-11-14

Pruco Securities, Llc.

Freehold, NJ

East Brunswick, NJ

Freehold, NJ

East Brunswick, NJ

East Brunswick, NJ

Dunedin, FL

Other Businesses

1) 11/06/2024 - Shirley R Kuhn - Act in a Fiduciary Capacity - Non Inv Related - At Dunedin, IL - Start Date 10/01/2021 - 1hrs/mth - 0hrs/mth During Trading 2) 11/06/2024 - Shirley R Kuhn - Act in a Fiduciary Capacity - Non Inv Related - At Dunedin, IL - Start Date 10/01/2021 - 1hrs/mth - 0hrs/mth During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-01-03

S66 Uniform Combined State Law Examination

2000-01-03

View on SEC IAPD