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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-14
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

1876 Niagara Falls Blvd. Suite 105, Tonawanda, NY 14150 • United States

100 College Parkway Suite 220, Williamsville, NY 14221 • United States

500 Plum St Ste 301, Syracuse, NY 13204 • 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
Outback Steakhouse Hamburg NY 11/2005 Present
Mutual Of Omaha Investor Services Williamsville NY 08/2012 03/2018
Mutual Of Omaha Williamsville NY 06/2012 03/2018
Unitedhealthcare Amherst NY 07/2016 05/2018
Pruco Securities, Llc. Amherst NY 05/2018 11/2024
Prudential Insurance Company Of America Amherst NY 05/2018 Present
Lpl Enterprise, Llc Williamsville NY 11/2024 Present
  • 11/2005 → Present
    Outback Steakhouse
    Hamburg, NY
  • 08/2012 → 03/2018
    Mutual Of Omaha Investor Services
    Williamsville, NY
  • 06/2012 → 03/2018
    Mutual Of Omaha
    Williamsville, NY
  • 07/2016 → 05/2018
    Unitedhealthcare
    Amherst, NY
  • 05/2018 → 11/2024
    Amherst, NY
  • 05/2018 → Present
    Prudential Insurance Company Of America
    Amherst, NY
  • 11/2024 → Present
    Williamsville, NY
Previous Registrations
Other Businesses

1) 11/14/2024 - New Buffalo Group - Medicare Sales and Service - Non-Variable Insurance - inv related - Tonawanda, NY - start date 8/01/2018 - 10 hrs/mth - 0 during trading 2) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-01-28
  • S63 Uniform Securities Agent State Law Examination
    2014-01-28
Other Names
  • Tony David Baeumler

View on SEC IAPD

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