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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

3206 Longmire Dr Ste A16 Suite A6, College Station, TX 77845 • 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
First National Bank - Bastrop Bastrop TX 06/2010 09/2022
Lpl Financial Llc Bastrop TX 10/2011 09/2022
Pruco Securities, Llc Austin TX 10/2022 11/2024
The Prudential Insurance Company Of America Austin TX 10/2022 Present
Lpl Enterprise, Llc College Station TX 11/2024 Present
  • 06/2010 → 09/2022
    First National Bank - Bastrop
    Bastrop, TX
  • 10/2011 → 09/2022
    Bastrop, TX
  • 10/2022 → 11/2024
    Austin, TX
  • 10/2022 → Present
    The Prudential Insurance Company Of America
    Austin, TX
  • 11/2024 → Present
    College Station, TX
Previous Registrations
  • 2022-10-03 → 2024-11-14
    Houston, TX
    Austin, TX
    College Station, TX
    College Station, TX
    College Station, TX
    Houston, TX
    College Station, TX
  • 2011-10-11 → 2022-11-02
    Bastrop, TX
    Bastrop, TX
    Elgin, TX
    Smithville, TX
  • 2010-06-17 → 2011-10-11
    Uvest Financial Services Group, Inc.
    Bastrop, TX
    Elgin, TX
    Smithville, TX
    Bastrop, TX
  • 2007-08-31 → 2010-06-14
    Bastrop, TX
    Bastrop, TX
Other Businesses

1- 06/26/2026 - Stone Path Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/25/2026 - 160 hours per month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-29
S63 Uniform Securities Agent State Law Examination 2004-11-11
  • S66 Uniform Combined State Law Examination
    2007-08-29
  • S63 Uniform Securities Agent State Law Examination
    2004-11-11
Other Names
  • Derrick Formby

View on SEC IAPD

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