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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-04-15
CA RA APPROVED 2024-11-14
  • TX RA
    APPROVED
    Since 2025-04-15
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

888 Prospect Street 330, La Jolla, CA 92037 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. San Diego CA 10/1999 11/2024
Prudential Insurance Company Of America San Diego CA 10/1999 Present
California Health Benefit Exchange San Diego CA 12/2013 11/2018
Lpl Enterprise, Llc La Jolla CA 11/2024 Present
  • 10/1999 → 11/2024
    San Diego, CA
  • 10/1999 → Present
    Prudential Insurance Company Of America
    San Diego, CA
  • 12/2013 → 11/2018
    California Health Benefit Exchange
    San Diego, CA
  • 11/2024 → Present
    La Jolla, CA
Previous Registrations
  • 2001-02-07 → 2024-11-14
    La Jolla, CA
    San Diego, CA
    La Jolla, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    La Jolla, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-22
S63 Uniform Securities Agent State Law Examination 1999-11-23
  • S65 Uniform Investment Adviser Law Examination
    2001-01-22
  • S63 Uniform Securities Agent State Law Examination
    1999-11-23
Designations

View on SEC IAPD

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