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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-11-14 |
| MO | RA | APPROVED | 2024-11-14 |
Branch Locations
1901 Butterfield Road Suite 250, Downers Grove, IL 60515 • United States
Clayton, MO • 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 |
|---|---|---|---|---|
| Gbe Insurance &Amp; Financial | Downers Grove | IL | 07/2012 | 04/2017 |
| Frederick Bales Risk Services Llc | Naperville | IL | 01/2015 | 04/2017 |
| Principal Life Insurance Company | Naperville | IL | 04/2017 | 02/2021 |
| Principal Securities Inc | Naperville | IL | 04/2017 | 02/2021 |
| Pruco Securities, Llc | Clayton | MO | 02/2021 | 11/2024 |
| The Prudential Insurance Company Of America | Clayton | MO | 02/2021 | Present |
| Lpl Enterprise, Llc | Downers Grove | IL | 11/2024 | Present |
1. 11/14/2024 - :20 Second Timeout Foundation - Non-Profit Board Member - Chicago, IL - NOT INV REL - Start Date 01/16/2016 - 1hr/mth 2. 11/14/2024 - Center of Creative Arts - Non-Profit Board Member - Saint Louis, MO - NOT INV REL - Start Date 09/27/2023 - 1hr/mth 3. 11/14/2024 - Central View Townhome Condominium Association - Non-Profit Board Member - Saint Louis, MO - NOT INV REL - Start Date 09/18/2024 - 1hr/mth 4. 11/14/2024 - Capaha Partners, LLC - Business Entity For Tax/Investment Purposes Only - Saint Louis, MO - NOT INV REL - Start Date 10/28/2010 - 10hrs/mth 5. 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 6) 12/30/2024- Prudential Life Insurance of America, Crump and Ash Brokerage- Non-Variable Insurance/Insurance Agency- Selling propriety and non-propriety term and fixed life insurance. - inv. related- at Downers Grove, IL- start date 12/18/2024- 2hrs/mnth-2hrs during trading 7) 01/29/2025- Inner-City Underwriting Agency- Property and Casualty- Specialty consultant underwriting surety bonds and providing technical assistance to contractors. - inv. related- at St. Louis, MO- start date 01/09/2025- 120hrs/mnth-60hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-23 |
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