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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

West Chester, PA • United States

2700 Kelly Road Suite 100D, Warrington, PA 18976 • 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
Pruco Securities, Llc. West Chester PA 09/2000 11/2024
Prudential Insurance Company Of America West Chester PA 09/2000 Present
Lpl Enterprise, Llc West Chester PA 11/2024 Present
Previous Registrations
  • 2011-09-13 → 2024-11-14
    West Chester, PA
    Collegeville, PA
    West Chester, PA
    Warrington, PA
    West Chester, PA
Other Businesses

1) 03/03/2025 - Pin and Bryan - Real Estate Rental - This is our rental property, basically my husband is taking care of property - inv. related - at Chester Springs, PA - start date 04/18/2013- 1hrs/mnth-0hrs during trading 2) 03/03/2025 - Pin and Bryan - Real Estate Rental - It is our rental property, my husband is in charge of property activity, rent out for all year around- inv. related - at West Chester, PA - start date 01/18/2014- 1hr/mnth-0hrs during trading 3) 03/03/2025 - Pin and Bryan - Real Estate Rental- This is renting for all year around, some agency takes care of the property - inv. related - at Lake Wales, FL- start date 10/18/2024-0hrs/mnth-0hrs during trading 4) 08/19/2024 - Owner- Real Estate Rental - I don't involve any management of rental property and my husband is in charge everything- inv. related - at West Chester, PA- start date 08/16/2012-0hrs/mnth-0hrs during trading 5) 08/19/2024 - Owner - Real Estate Rental - My husband is in charge of the management of the property- inv. related - at Chester Springs, PA- start date 11/16/2012- 0hrs/mnth-0hrs during trading 6) 08/19/2024 - Real Estate Rental- Honor Quality company manages the property- inv. related - at Lake Wales, FL- start date 06/14/2024- 0hrs/mnth-0hrs during trading 7) 12/11/2025-Pin Yao-Referral Income-Inv Related-At West Chester, PA-Start date 12/08/2025-3hrs/mth-3hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-04
  • S66 Uniform Combined State Law Examination
    2000-10-04

View on SEC IAPD

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