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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Clayton | NY | 02/1998 | 11/2024 |
| Prudential Insurance Company Of America | Clayton | NY | 02/1998 | Present |
| Lpl Enterprise, Llc | Clayton | NY | 11/2024 | Present |
1)11/14/2024-Northern New York Community Foundation-Board Member-Non-Profit Board Member-Not inv related-At Watertown, NY-Start date 09/29/2021-2hrs/mth-1hrs/mth during trading 2) 12/06/2026-Sanford Retirement Planning & Insurance-Owner / Advisor-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 08/06/2012 3) 07/07/2025-Anchor Point Financial Advisors-Financial Advisor-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 10/01/2025-140hrs/mth-6hrs/mth during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-21 |
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