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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-11-14 |
| NE | RA | APPROVED | 2024-11-14 |
Branch Locations
4300 S. Lakeport Suite 105, Sioux City, IA 51106 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Omaha | NE | 05/2012 | 11/2024 |
| Prudential Insurance Company Of America | Omaha | NE | 05/2012 | Present |
| Lpl Enterprise, Llc | Omaha | NE | 11/2024 | Present |
1) 11/14/2024 - Garvey Duplex - Duplex owned as rental property, maintain property and keep rented - Rental with immediate family member - Real Estate Rental - Inv Related - At South Sioux City, NE - Start Date 01/01/2023 - 5hrs/mth - 0hrs/mth During Trading 2) 11/14/2024 - PIPAC - Health Insurance Agent - Outside/W-2 Employment - Inv Related - At Cedar Falls, IA - Start Date 08/30/2018 - 5hrs/mth - 4hrs/mth During Trading 3) 11/14/2024 - South Sioux City Athletic Booster Club - Preside over meetings, attend events, decision making on expenditures - Non-Profit Board Member - Non Inv Related - At South Sioux City, NE - Start Date 05/12/2023 - 4hrs/mth - 0hrs/mth During Trading 4) 04/11/2025-William Garvey-Non-Variable Insurance-Inv related-At Sioux City, IA-Start date 04/07/2025-1hrs/mth-1hrs/mth during trading 5) 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-21 |
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