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William Arthur King

LPl Enterprise, LLC

Cape Coral, FL

CRD 5997231

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-11-18
TX RA APPROVED_RES 2024-11-14
  • FL RA
    APPROVED
    Since 2024-11-18
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

4903 Chiquita Blvd S Suite 3, Cape Coral, FL 33914 • 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
The Prudential Insurance Company Of America Bonita Springs FL 10/2011 Present
Pruco Securities Llc Bonita Springs FL 10/2011 11/2024
Lpl Enterprise, Llc Cape Coral FL 11/2024 Present
  • 10/2011 → Present
    The Prudential Insurance Company Of America
    Bonita Springs, FL
  • 10/2011 → 11/2024
    Pruco Securities Llc
    Bonita Springs, FL
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Cape Coral, FL
Previous Registrations
  • 2016-11-07 → 2024-11-14
    Pruco Securities, Llc.
    Fort Myers, FL
    Sarasota, FL
    Bonita Springs, FL
    Cape Coral, FL
    Ft Myers, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-03-17
S65 Uniform Investment Adviser Law Examination 2016-10-11
  • S63 Uniform Securities Agent State Law Examination
    2017-03-17
  • S65 Uniform Investment Adviser Law Examination
    2016-10-11
Other Names
  • William Arthur King

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
FIFTH THIRD SECURITIES, INC.

Nearby Investors

DANIELLE MARIE GATES
NICOLE ROSE GIANNONE
SHAWN PATRICK KOLAR

Nearby Offices

LPL FINANCIAL LLC · CAPE CORAL, FL
WELLS FARGO CLEARING SERVICES, LLC · CAPE CORAL, FL
FIFTH THIRD SECURITIES, INC. · CAPE CORAL, FL

More in Cape Coral, FL

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