Best Investors Account Sign in

Kyung E Yeum

LPl Enterprise, LLC

East Setauket, NY

Scottsdale, AZ

Claim This Profile
Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

100-5 S Jersey Avenue, East Setauket, NY 11733 • United States

Scottsdale, AZ • 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
Prudential Insurance Company Of America Melville NY 08/2004 Present
Pruco Securities, Llc. Melville NY 08/2004 11/2024
Lpl Enterprise, Llc Babylon NY 11/2024 Present
Previous Registrations
  • 2021-06-07 → 2024-11-14
    Pruco Securities, Llc.
    Melville, NY
    Melville, NY
    Babylon, NY
    Forest Hills, NY
    Babylon, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-26
S63 Uniform Securities Agent State Law Examination 2004-10-01
  • S65 Uniform Investment Adviser Law Examination
    2004-10-26
  • S63 Uniform Securities Agent State Law Examination
    2004-10-01

View on SEC IAPD

Other Firms

CONCORDE ASSET MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
DAI WEALTH, LLC
CITIZENS SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BRANCH FINANCIAL SERVICES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

MATTHEW JOHN NIEGOCKI
ALAN NEIL LICHTENSTEIN
Joseph Victor Levy
MICHAEL W MCCRAIN
MARK MIROCCO
Timothy John Mirocco
ROY VINCENT PFLEGER
DAVID JONATHAN WILCOX

Other Offices

CONCORDE ASSET MANAGEMENT, LLC · Setauket, NY
CONCORDE ASSET MANAGEMENT, LLC · Setauket, NY
CETERA INVESTMENT ADVISERS LLC · EAST SETAUKET, NY
LPL FINANCIAL LLC · East Setauket, NY
DAI WEALTH, LLC · E SETAUKET, NY
CITIZENS SECURITIES, INC. · EAST SETAUKET, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · EAST SETAUKET, NY
BRANCH FINANCIAL SERVICES, INC. · SETAUKET, NY

More in East Setauket, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor