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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

8 North Corporate Drive 2Nd Floor, Riverdale, NJ 07457 • 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. Riverdale NJ 01/2008 11/2024
The Prudential Insurance Company Of America Paramus NJ 01/2008 08/2019
Prudential Insurance Company Of America Riverdale NJ 08/2019 Present
Lpl Enterprise, Llc Riverdale NJ 11/2024 Present
  • 01/2008 → 11/2024
    Riverdale, NJ
  • 01/2008 → 08/2019
    The Prudential Insurance Company Of America
    Paramus, NJ
  • 08/2019 → Present
    Prudential Insurance Company Of America
    Riverdale, NJ
  • 11/2024 → Present
    Riverdale, NJ
Previous Registrations
Other Businesses

07/23/2026-Rock Financial Partners, LLC-Principal-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 07/01/2026-200hrs/mth-120hrs/mth during trading 2) 2025-07-08 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - - - at reported business location(s) - 2025-07-08 - ?Fixed life insurance through Prudential Individual Life Insurance (ILI). ?Fixed life, disability, and LTC through the Prudential sponsored Crump and Ash agreements. ?Healthcare business through the Prudential sponsored agreements with Benefit Mall and Emerson Rogers. 3) 2025-03-20 - Prudential - Non-Variable Insurance - Y - 8 - 6 - at reported business location(s) - 2025-02-07 - outbrokerage life, annuity, LTC, disability insurance 4) 2025-03-19 - Prudential - Property and Casualty - Y - 4 - 4 - at reported business location(s) - 2025-02-07 - Plymouth Rock Home and Auto insurance

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-16
S63 Uniform Securities Agent State Law Examination 2008-03-15
  • S65 Uniform Investment Adviser Law Examination
    2013-05-16
  • S63 Uniform Securities Agent State Law Examination
    2008-03-15

View on SEC IAPD

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