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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-14 |
| GA | RA | APPROVED | 2024-11-14 |
| MI | RA | APPROVED | 2024-11-14 |
| PA | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
101 W Big Beaver Road Suite 705, Troy, MI 48084 • United States
3150 Livernois Suite 200, Troy, MI 48083 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Troy | MI | 02/2016 | 11/2024 |
| Prudential Insurance Company Of America | Troy | MI | 02/2016 | Present |
| Lpl Enterprise, Llc | Troy | MI | 11/2024 | Present |
1) 10/03/2024- DWS Financial, LLC- Business Entity For Tax/Investment Purposes Only- Manages administrative tasks like payroll, staff, rent, etc- Not INV Related- At Troy, MI- Start date 01/01/2015- 4 HRS MTH- 2 HRS During Trading 2) 10/03/2024- MI-Gift- Non-Profit Board Member- Secretary of non-profit; attend meetings; coordinate events as necessary- Not INV Related- At Troy, MI- Start date 01/01/2024- 1 HRS MTH- 0 HRS During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-24 |
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