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Dora Cristina Maltez

LPl Enterprise, LLC

Colts Neck, NJ

Bedminster, NJ

CRD 2874733

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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

AuthorityCategoryStatusDate
AL RA APPROVED 2024-11-14
AR RA APPROVED 2024-11-14
GA RA APPROVED 2024-11-14
IN RA APPROVED 2024-11-14
KS RA APPROVED 2024-11-14
MS RA APPROVED 2024-11-14
NJ RA APPROVED 2024-11-14
NC RA APPROVED 2024-11-14
OK RA APPROVED 2024-11-14
SC RA APPROVED 2024-11-14
TX RA APPROVED 2024-11-14
VA RA APPROVED 2024-11-14
  • AL RA
    APPROVED
    Since 2024-11-14
  • AR RA
    APPROVED
    Since 2024-11-14
  • GA RA
    APPROVED
    Since 2024-11-14
  • IN RA
    APPROVED
    Since 2024-11-14
  • KS RA
    APPROVED
    Since 2024-11-14
  • MS RA
    APPROVED
    Since 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-11-14
  • NC RA
    APPROVED
    Since 2024-11-14
  • OK RA
    APPROVED
    Since 2024-11-14
  • SC RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED
    Since 2024-11-14
  • VA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Colts Neck, NJ • United States

135 Us Highway 202/206 Suite 3, Bedminster, NJ 07921 • 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
Pruco Securities, Llc. Newark NJ 09/2014 11/2024
Prudential Insurance Company Of America Newark NJ 09/2014 Present
Lpl Enterprise, Llc Newark NJ 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-12
  • S66 Uniform Combined State Law Examination
    2021-10-12
Other Names
  • Dora Cristina Marques
  • Dora C Dagostino

View on SEC IAPD

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