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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • SC RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

5111 Trenholm Road Suite 100, Columbia, SC 29206 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Columbia SC 09/2004 Present
Pruco Securities, Llc. Columbia SC 09/2004 11/2024
Lpl Enterprise, Llc Columbia SC 11/2024 Present
Previous Registrations
Other Businesses

1) 09/19/2024- Hudson Investment Group LLC- Real Estate Rental- Landlord- INV Related- At Columbia, SC- Start date 06/01/2013- 4 HRS MTH- 4 HRS During Trading 2) 09/19/2024- Hudson Puntch Properties LLC- Real Estate Rental- Real Estate Rental - Landlord- INV Related- At Columbia, SC - Start date 04/01/2017- 1 HRS MTH- 0 HRS During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-10
S63 Uniform Securities Agent State Law Examination 2004-10-15
  • S65 Uniform Investment Adviser Law Examination
    2005-01-10
  • S63 Uniform Securities Agent State Law Examination
    2004-10-15

View on SEC IAPD

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