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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

5353 S. 960 E Suite 235, Salt Lake City, UT 84117 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America South Jordan UT 09/2015 Present
Pruco Securities, Llc. South Jordan UT 09/2015 11/2024
Lpl Enterprise, Llc Murray UT 11/2024 Present
Previous Registrations
  • 2015-10-14 → 2024-11-14
    South Jordon, UT
    Englewood, CO
    South Jordon, UT
    Murray, UT
  • 2010-06-29 → 2015-07-31
    Msi Financial Services, Inc.
    Sandy, UT
Other Businesses

1) 11/20/2024 - Unum Life Insurance of America - Non-Variable Insurance/Insurance Agency - Advisor for group insurance for the company - INV Related - At Provo, UT - Start Date 11/01/2021 - 0hrs/mth - 0hrs During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-07
S63 Uniform Securities Agent State Law Examination 1997-06-30
  • S66 Uniform Combined State Law Examination
    2010-05-07
  • S63 Uniform Securities Agent State Law Examination
    1997-06-30
Other Names
  • Khanh Ho Hu

View on SEC IAPD

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