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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-11-14 |
Branch Locations
10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • United States
3701 E Evergreen Dr. Suite 295, Appleton, WI 54913 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Wauwatosa | WI | 02/2012 | 11/2024 |
| Prudential Insurance Company Of America | Wauwatosa | WI | 02/2012 | Present |
| Lpl Enterprise, Llc | Appleton | WI | 11/2024 | Present |
1- 12/18/2024 - Prudential Advisors - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 02/01/2012 - 10 hours per month/ during trading 2- 12/18/2024 - Prudential Advisors - Non-Variable Insurance Commission Trails - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 02/01/2012
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-27 |
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