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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2024-11-14
MO RA APPROVED 2024-11-14
  • KS RA
    APPROVED
    Since 2024-11-14
  • MO RA
    APPROVED
    Since 2024-11-14

Branch Locations

9900 W. 109Th Street Suite 120, Overland Park, KS 66210 • United States

12312 Olive Boulevard Suite 300, St Louis, MO 63141-6474 • United States

9900 W. 109Th Street Suite 120, Overland Park, KS 66210 • 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
Thrivent Investment Management Inc Overland Park KS 12/2013 06/2018
Thrivent Financial Appleton WI 06/2014 06/2018
The Prudential Insurance Company Of America Overland Park KS 06/2018 Present
Pruco Securities Llc Overland Park KS 06/2018 11/2024
Lpl Enterprise, Llc Overland Park KS 11/2024 Present
  • 12/2013 → 06/2018
    Thrivent Investment Management Inc
    Overland Park, KS
  • 06/2014 → 06/2018
    Thrivent Financial
    Appleton, WI
  • 06/2018 → Present
    The Prudential Insurance Company Of America
    Overland Park, KS
  • 06/2018 → 11/2024
    Overland Park, KS
  • 11/2024 → Present
    Overland Park, KS
Previous Registrations
  • 2019-07-31 → 2024-11-14
    Overland Park, KS
    St. Louis, MO
    Overland Park, KS
    Prairie Village, KS
    Overland Park, KS
    St. Louis, MO
    Overland Park, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-12
S63 Uniform Securities Agent State Law Examination 2014-04-18
  • S66 Uniform Combined State Law Examination
    2019-07-12
  • S63 Uniform Securities Agent State Law Examination
    2014-04-18
Other Names
  • Adam James Maddox
  • Adam Maddox

View on SEC IAPD

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