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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2024-11-19
MA RA APPROVED 2024-11-15
  • VT RA
    APPROVED
    Since 2024-11-19
  • MA RA
    APPROVED
    Since 2024-11-15

Branch Locations

Brandon, VT • United States

500 Edgewater Drive Suite 595, Wakefield, MA 01880 • United States

Brandon, VT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Needham MA 08/2012 Present
Pruco Securities, Llc. Needham MA 08/2012 11/2024
Self Emp. Weymouth MA 01/2001 04/2018
Lpl Enterprise, Llc Brandon VT 11/2024 Present
  • 08/2012 → Present
    Prudential Insurance Company Of America
    Needham, MA
  • 08/2012 → 11/2024
    Needham, MA
  • 01/2001 → 04/2018
    Self Emp.
    Weymouth, MA
  • 11/2024 → Present
    Brandon, VT
Previous Registrations
  • 2022-02-03 → 2024-11-20
    Needham, MA
    Needham, MA
    Wakefield, MA
    Brandon, VT
    Newark, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-09
S63 Uniform Securities Agent State Law Examination 2012-11-12
  • S65 Uniform Investment Adviser Law Examination
    2014-05-09
  • S63 Uniform Securities Agent State Law Examination
    2012-11-12

View on SEC IAPD

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