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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • NC RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

425 Spring Garden Street, Greensboro, NC 27401 • United States

301 N Main Street Suite 2417, Winston Salem, NC 27101 • 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. Raleigh NC 05/1997 11/2024
Prudential Insurance Company Of America Raleigh NC 05/1997 Present
Lpl Enterprise, Llc Greensboro NC 11/2024 Present
Previous Registrations
  • 2001-12-31 → 2024-11-14
    Raleigh, NC
    Raleigh, NC
    Winston Salem, NC
    Greensboro, NC
    Greensboro, NC
    Winston Salem, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-21
S63 Uniform Securities Agent State Law Examination 1997-06-26
  • S65 Uniform Investment Adviser Law Examination
    1998-04-21
  • S63 Uniform Securities Agent State Law Examination
    1997-06-26

View on SEC IAPD

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