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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-07
AZ RA APPROVED 2024-11-14
CA RA APPROVED 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2026-01-07
  • AZ RA
    APPROVED
    Since 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Phoenix, AZ • United States

2325 East Camelback Road Suite 100, Phoenix, AZ 85016 • 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
Compass Bank Birmingham AL 03/2013 10/2018
Bbva Wealth Solutions Inc. Scottsdale AZ 03/2013 10/2018
Bbva Securities Inc. Scottsdale AZ 05/2013 10/2018
Bbva Compass Insurance Agency, Inc. Austin TX 03/2013 10/2018
Prudential Insurance Company Of America Phoenix AZ 10/2018 Present
Pruco Securities, Llc. Phoenix AZ 10/2018 11/2024
Lpl Enterprise, Llc Phoenix AZ 11/2024 Present
  • 03/2013 → 10/2018
    Compass Bank
    Birmingham, AL
  • 03/2013 → 10/2018
    Bbva Wealth Solutions Inc.
    Scottsdale, AZ
  • 05/2013 → 10/2018
    Bbva Securities Inc.
    Scottsdale, AZ
  • 03/2013 → 10/2018
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 10/2018 → Present
    Prudential Insurance Company Of America
    Phoenix, AZ
  • 10/2018 → 11/2024
    Phoenix, AZ
  • 11/2024 → Present
    Phoenix, AZ
Previous Registrations
  • 2018-11-08 → 2024-11-14
    Phoenix, AZ
  • 2013-04-03 → 2018-10-22
    Pnc Managed Account Solutions, Inc.
    Phoenix, AZ
    Chandler, AZ
    Scottsdale, AZ
  • 2012-01-25 → 2013-03-04
    Chandler, AZ
    Scottsdale, AZ
  • 2006-04-13 → 2012-01-09
    Chase Investment Services Corp.
    Chandler, AZ
    Chandler, AZ
    Chandler, AZ
    Phoenix, AZ
    Chandler, AZ
  • 2004-09-08 → 2005-12-19
    Morgan Stanley Dw Inc.
    San Diego, CA
Other Businesses

1) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 2) 07/21/2026-Solara Wealth-Partner/General Partner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 07/15/2026-160hrs/mth-160hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-07
  • S66 Uniform Combined State Law Examination
    2004-09-07
Other Names
  • Travis Bloom
  • Travis R Bloom
  • Travis Richard Bloom

View on SEC IAPD

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