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Sandra Ann Pruett

LPl Financial LLC

Wentzville, MO

San Diego, CA

CRD 2882046

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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 Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-10-21
  • MO RA
    APPROVED
    Since 2024-10-21

Branch Locations

Wentzville, MO • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Wells Fargo Advisors, Llc St. Louis MO 03/2010 11/2016
First Clearing Llc St. Louis MO 03/2010 11/2016
Wells Fargo Advisors Financial Network, Llc St. Louis MO 03/2010 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 08/2024
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 08/2024
Lpl Financial Llc San Diego CA 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-27
S63 Uniform Securities Agent State Law Examination 1998-12-17
  • S66 Uniform Combined State Law Examination
    2012-11-27
  • S63 Uniform Securities Agent State Law Examination
    1998-12-17
Other Names
  • Sandy Pruett
  • Sandra A Pruett

View on SEC IAPD

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