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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-04-22
  • NY RA
    APPROVED
    Since 2025-04-22

Branch Locations

New York, NY • United States

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • 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
Guardian Life Insurance New York NY 08/2015 03/2021
Park Avenue Securities New York NY 08/2015 03/2021
Mass Mutual Life Insurance Co. New York NY 03/2021 12/2024
Mml Investors Services, Llc New York NY 04/2021 12/2024
Lpl Enterprise New York NY 02/2025 Present
  • 08/2015 → 03/2021
    Guardian Life Insurance
    New York, NY
  • 08/2015 → 03/2021
    Park Avenue Securities
    New York, NY
  • 03/2021 → 12/2024
    Mass Mutual Life Insurance Co.
    New York, NY
  • 04/2021 → 12/2024
    New York, NY
  • 02/2025 → Present
    Lpl Enterprise
    New York, NY
Previous Registrations
Other Businesses

1. 01/31/2025 - Ash Brokerage - Non-Variable Insurance - INV REL - Fort Wayne, IN - Start Date 01/01/2025 - 2hrs/MTH 2. 01/31/2025 - Mass Mutual New Jersey-NYC - Non-Variable Insurance - INV REL - Warren, NJ - Start Date 01/01/2025 3hrs/MTH 3. 01/31/2025 - Guardian Life - Non-Variable Insurance - INV REL - New York, NY - Start Date 05/01/2021 - 2hrs/MTH 4. 01/31/2025 - 417Manhattan Ave, 1 - Real Estate Rental - INV REL - New York, NY - Start Date 07/01/2023 - 1hr/MTH 5) 03/24/2025-Crump Life Insurance Services-Non-Variable Insurance-Inv Related-At Harrisburg, PA-Start date 03/20/2025-2hrs/mth-2hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-17
  • S66 Uniform Combined State Law Examination
    2025-04-17

View on SEC IAPD

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