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Mark Douglas Smith

LPl Enterprise, LLC

Brentwood, TN

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-11-14
TN RA APPROVED 2024-11-14
TX RA APPROVED 2024-11-14
  • AL RA
    APPROVED
    Since 2024-11-14
  • TN RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED
    Since 2024-11-14

Branch Locations

8005 Church St. E Ste 207, Brentwood, TN 37027 • 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. Brentwood TN 05/2013 11/2024
Prudential Insurance Company Of America Brentwood TN 05/2013 Present
Lpl Enterprise, Llc Hendersonville TN 11/2024 Present
Previous Registrations
  • 2013-06-13 → 2024-11-14
    Pruco Securities, Llc.
    Franklin, TN
    Brentwood, TN
    Brentwood, TN
    Hendersonville, TN
  • 2012-10-11 → 2013-05-28
    Msi Financial Services, Inc.
    Memphis, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-27
S63 Uniform Securities Agent State Law Examination 2011-10-15
  • S65 Uniform Investment Adviser Law Examination
    2012-08-27
  • S63 Uniform Securities Agent State Law Examination
    2011-10-15
Other Names
  • Mark Smith

View on SEC IAPD

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