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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

1000 Pittsford Victor Road Suite 2E, Pittsford, NY 14534 • 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
Pfs Investments Inc. Rochester NY 11/2007 08/2018
Primerica Financial Services Rochester NY 05/2004 08/2018
Axa Advisors, Llc New York NY 08/2018 06/2020
Equitable Advisors, Llc New York NY 08/2018 03/2022
The Prudential Insurance Company Of America Pittsford NY 03/2022 Present
Pruco Securities, Llc Pittsford NY 03/2022 11/2024
Lpl Enterprise, Llc Pittsford NY 11/2024 Present
  • 11/2007 → 08/2018
    Pfs Investments Inc.
    Rochester, NY
  • 05/2004 → 08/2018
    Primerica Financial Services
    Rochester, NY
  • 08/2018 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 08/2018 → 03/2022
    New York, NY
  • 03/2022 → Present
    The Prudential Insurance Company Of America
    Pittsford, NY
  • 03/2022 → 11/2024
    Pittsford, NY
  • 11/2024 → Present
    Pittsford, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-17
S63 Uniform Securities Agent State Law Examination 2008-01-29
  • S66 Uniform Combined State Law Examination
    2021-10-17
  • S63 Uniform Securities Agent State Law Examination
    2008-01-29
Other Names
  • Xue Cheng
  • Xue Miller
  • Glenn Miller

View on SEC IAPD

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