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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-11-14 |
Branch Locations
10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • United States
720 S. 68Th St Suite 9, West Des Moines, IA 50266 • United States
5550 Wild Rose Lane Ste 400, Office # 4074, West Des Moines, IA 50266 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 07/2013 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 07/2013 | 12/2021 |
| Prudential Insurance Company Of America | West Des Moines | IA | 12/2021 | Present |
| Pruco Securities, Llc. | West Des Moines | IA | 12/2021 | 11/2024 |
| Lpl Enterprise, Llc | West Des Moines | IA | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-02-06 |
| S65 | Uniform Investment Adviser Law Examination | 2003-01-28 |
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