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Patrick Joseph Dauer

LPl Enterprise, LLC

Glen Allen, VA

Cockeysville, MD

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

4860 Cox Road Suite 100, Glen Allen, VA 23060 • United States

303 International Cir Ste 105, Cockeysville, MD 21030 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Glen Allen VA 09/2004 11/2024
Prudential Insurance Company Of America Glenn Allen VA 09/2004 Present
Lpl Enterprise, Llc Glen Allen VA 11/2024 Present
Previous Registrations
  • 2007-09-25 → 2024-11-14
    Pruco Securities, Llc.
    Mercer Island, WA
    Glen Allen, VA
    North Bethesda, MD
    Glen Allen, VA
    Great Falls, MT
    Great Falls, MT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-01
S63 Uniform Securities Agent State Law Examination 2004-11-10
  • S65 Uniform Investment Adviser Law Examination
    2005-02-01
  • S63 Uniform Securities Agent State Law Examination
    2004-11-10

View on SEC IAPD

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