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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
IA RA APPROVED 2024-11-14
MN RA APPROVED 2024-11-14
TX RA APPROVED 2024-11-14
  • IA RA
    APPROVED
    Since 2024-11-14
  • MN RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED
    Since 2024-11-14

Branch Locations

Janesville, MN • United States

801 Commerce Drive, Decorah, IA 52101 • United States

820 Winnebago Ave, Fairmont, MN 56031 • United States

600 Highway 169 Suite 1000, St Louis Park, MN 55426 • United States

220 North State Street, Waseca, MN 56093 • 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. Waseca MN 10/1999 11/2024
Prudential Insurance Company Of America Waseca MN 10/1999 Present
Lpl Enterprise, Llc Waseca MN 11/2024 Present
Previous Registrations
  • 2013-11-26 → 2024-11-14
    Waseca, MN
    Waseca, MN
    Decorah, IA
    St. Louis Park, MN
    Decorah, IA
    Decorah, IA
Other Businesses

1. 11/14/2024 - Matthew P. Barnes Agency - Non-Variable Insurance Commission Trails - Mankato, MN - INV REL - Start Date 01/01/2013 - 0hrs/mth 2. 11/14/2024 - Notary Public - Notary - Waseca, MN - NOT INV REL - Start Date 03/02/2015 - 1hr/mth 3. 11/14/2024 - Midwest Financial Professionals - DBA for LPL Business (entity for LPL business) - Waseca, MN - INV REL - Start Date 02/09/2011 - 173hrs/mth | 137hrs during trading 4. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s) 5. 07/06/2026-Waseca Basketball Association-Board Member-Non-Profit Board Member-Not inv related-At Waseca, MN-Start date 06/28/2026-1hrs/mth-0hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-28
S63 Uniform Securities Agent State Law Examination 1999-12-02
  • S65 Uniform Investment Adviser Law Examination
    2001-06-28
  • S63 Uniform Securities Agent State Law Examination
    1999-12-02
Designations
  • Certified Financial Planner
Other Names
  • Nathan Hansen

View on SEC IAPD

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