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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-11-14
  • MN RA
    APPROVED
    Since 2024-11-14

Branch Locations

Chaska, MN • United States

600 Highway 169 Suite 1000, St Louis Park, MN 55426 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Locorr Distributors Excelsior MN 09/2015 05/2017
Ameriprise Financial Services, Inc. St Paul MN 05/2018 06/2018
Unemployed Eden Prairie MN 05/2017 04/2018
Unemployed Eden Prairie MN 06/2018 10/2018
Td Ameritrade, Inc. St. Cloud MN 10/2018 01/2021
Access Financial Services, Inc. Minneapolis MN 02/2021 12/2021
Td Ameritrade Investment Management, Llc St. Paul MN 10/2018 12/2020
The Prudential Insurance Company Of America St Louis Park MN 05/2022 Present
Pruco Securities Llc St Louis Park MN 05/2022 11/2024
Unemployed Eden Prairie MN 12/2021 05/2022
Lpl Enterprise, Llc Chaska MN 11/2024 Present
  • 09/2015 → 05/2017
    Locorr Distributors
    Excelsior, MN
  • 05/2018 → 06/2018
    Ameriprise Financial Services, Inc.
    St Paul, MN
  • 05/2017 → 04/2018
    Unemployed
    Eden Prairie, MN
  • 06/2018 → 10/2018
    Unemployed
    Eden Prairie, MN
  • 10/2018 → 01/2021
    Td Ameritrade, Inc.
    St. Cloud, MN
  • 02/2021 → 12/2021
    Minneapolis, MN
  • 10/2018 → 12/2020
    Td Ameritrade Investment Management, Llc
    St. Paul, MN
  • 05/2022 → Present
    The Prudential Insurance Company Of America
    St Louis Park, MN
  • 05/2022 → 11/2024
    St Louis Park, MN
  • 12/2021 → 05/2022
    Unemployed
    Eden Prairie, MN
  • 11/2024 → Present
    Chaska, MN
Previous Registrations
Other Businesses

1. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-03
  • S66 Uniform Combined State Law Examination
    2003-09-03
Other Names
  • Tim Harberts

View on SEC IAPD

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