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LPl Enterprise, LLC CRD 8733
$24.9B regulatory AUM 12,118 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-11-14 |
| MN | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-02 |
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