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Steven James Wallock

LPl Enterprise, LLC

Grand Rapids, MI

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-11-14
MI RA APPROVED 2024-11-14
  • IN RA
    APPROVED
    Since 2024-11-14
  • MI RA
    APPROVED
    Since 2024-11-14

Branch Locations

3033 Orchard Vista Drive Suite 102, Grand Rapids, MI 49546 • 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
Pruco Securities, Llc. Grand Rapids MI 12/2007 11/2024
Prudential Insurance Company Of America Grand Rapids MI 12/2007 Present
Lpl Enterprise, Llc Grand Rapids MI 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-05
S63 Uniform Securities Agent State Law Examination 2008-01-14
  • S65 Uniform Investment Adviser Law Examination
    2012-01-05
  • S63 Uniform Securities Agent State Law Examination
    2008-01-14

View on SEC IAPD

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