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Joseph A Falzone

LPl Enterprise, LLC

Atlanta, GA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

3343 Peachtree Road, N.E. Suite 700, Atlanta, GA 30326 • 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
Suntrust Investment Servies, Inc Atlanta GA 05/2013 03/2022
Suntrust Bank Duluth GA 04/2013 03/2022
Suntrust Advisory Services Atlanta GA 09/2016 03/2022
Bb&T Securities, Llc. Richmond VA 12/2019 03/2022
Truist Investment Services, Inc. Alpharetta GA 02/2021 03/2022
Pruco Securities Llc Atlanta GA 05/2022 11/2024
Prudential Insurance Company Of America Atlanta GA 05/2022 Present
Unemployed Alpharetta GA 03/2022 05/2022
Lpl Enterprise, Llc Atlanta GA 11/2024 Present
  • 05/2013 → 03/2022
    Suntrust Investment Servies, Inc
    Atlanta, GA
  • 04/2013 → 03/2022
    Suntrust Bank
    Duluth, GA
  • 09/2016 → 03/2022
    Suntrust Advisory Services
    Atlanta, GA
  • 12/2019 → 03/2022
    Bb&T Securities, Llc.
    Richmond, VA
  • 02/2021 → 03/2022
    Truist Investment Services, Inc.
    Alpharetta, GA
  • 05/2022 → 11/2024
    Atlanta, GA
  • 05/2022 → Present
    Prudential Insurance Company Of America
    Atlanta, GA
  • 03/2022 → 05/2022
    Unemployed
    Alpharetta, GA
  • 11/2024 → Present
    Atlanta, GA
Previous Registrations
  • 2022-06-06 → 2024-11-14
    Atlanta, GA
  • 2016-12-01 → 2022-02-28
    Duluth, GA
    Duluth, GA
    Alpharetta, GA
  • 2019-12-10 → 2021-02-17
    Bb&T Securities, Llc
    Richmond, VA
    Alpharetta, GA
    Alpharetta, GA
    Charlotte, NC
    Richmond, VA
Other Businesses

1) 01/12/2026-Ocee Park Recreation-Volunteer Baseball Coach-Non-profit volunteer (not on board)-Not Inv Related-At Johns Creek, GA-Start date 01/17/2026-25hrs/mth-0hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-10
S63 Uniform Securities Agent State Law Examination 2008-04-02
  • S66 Uniform Combined State Law Examination
    2016-11-10
  • S63 Uniform Securities Agent State Law Examination
    2008-04-02
Other Names
  • Joseph Falzone
  • Joseph A. Falzone
  • Joseph Anthony Falzone

View on SEC IAPD

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