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Daniel Williams

LPl Enterprise, LLC

Clark, NJ

Clark, NJ

Fort Mill, SC

CRD 2960765

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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
TX RA APPROVED 2024-10-21
NJ RA APPROVED 2024-09-27
SC RA APPROVED 2024-09-27
  • TX RA
    APPROVED
    Since 2024-10-21
  • NJ RA
    APPROVED
    Since 2024-09-27
  • SC RA
    APPROVED
    Since 2024-09-27

Branch Locations

Clark, NJ • United States

Clark, NJ • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Prudential Insurance Company Of America Iselin NJ 10/2002 09/2024
Pruco Securities, Llc. Iselin NJ 01/2003 09/2024
Us Army Reserve-Retired St Louis MO 06/2008 Present
Lpl Enterprise, Llc Fort Mill SC 09/2024 Present
  • 10/2002 → 09/2024
    Prudential Insurance Company Of America
    Iselin, NJ
  • 01/2003 → 09/2024
    Pruco Securities, Llc.
    Iselin, NJ
  • 06/2008 → Present
    Us Army Reserve-Retired
    St Louis, MO
  • 09/2024 → Present
    Lpl Enterprise, Llc
    Fort Mill, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-29
S63 Uniform Securities Agent State Law Examination 1997-12-18
  • S66 Uniform Combined State Law Examination
    2024-01-29
  • S63 Uniform Securities Agent State Law Examination
    1997-12-18
Other Names
  • Dan Williams
  • Daniel Joseph Williams

View on SEC IAPD

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