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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

303 International Cir Ste 105, Cockeysville, MD 21030 • United States

Forest Hill, MD • 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
Cetera Investment Advisers Llc Lutherville MD 02/2014 12/2019
Cetera Investment Services Llc St.CLoud MN 02/2014 12/2019
Prudential Insurance Company Of America Forest Hill MD 12/2019 Present
Pruco Securities, Llc. Forest Hill MD 12/2019 11/2024
Lpl Enterprise, Llc Forest Hill MD 11/2024 Present
Previous Registrations
  • 2019-12-19 → 2024-11-14
    Hunt Valley, MD
    North Bethesda, MD
    Forest Hill, MD
    Forest Hill, MD
    North Bethesda, MD
    Forest Hill, MD
  • 2014-02-12 → 2019-12-16
    Lutherville, MD
    Nottingham, MD
  • 2008-02-28 → 2014-02-13
    Baltimore, MD
    Sparks, MD
    Forest Hill, MD
    Bel Air, MD
    Timonium, MD
    Abingdon, MD
    Baltimore, MD
    Baltimore, MD
    Perry Hall, MD
    Baltimore, MD
    Baltimore, MD
    Bel Air, MD
    Baltimore, MD
    Owings Mills, MD
    Ellicott City, MD
    Baltimore, MD
    Lutherville, MD
    Lutherville, MD
    Fort Mill, SC
  • 2003-06-30 → 2008-01-18
    Uvest Financial Services Group, Inc.
    Severna Park, MD
    Baltimore, MD
    Baltimore, MD
  • 2003-05-12 → 2003-07-01
    Essex National Securities, Llc
    Baltimore, MD
  • 2002-06-24 → 2003-04-22
    Baltimore, MD
Other Businesses

1) 09/26/2024 - Strategic Wealth Advisors LLC - This is an LLC created to use as payroll for my licensed register sales assistant whom I share with another advisor - Business Owner - Inv Related - At Forest Hill, MD - Start Date 03/01/2021 - 4hrs/mth - 2hrs/mth During Trading 2) 09/26/2024 - AQCrew LLC - 3 Broadship Rd Dundalk MD 21222. Rental with tenant 15 Broadship Rd Dundalk, MD 21222 Rental with long-term tenant - Real Estate Rental - Inv Related - At Forest Hill, MD - Start Date 09/01/2018 - 2hrs/mth - 0hrs/mth During Trading 3) 12/26/2024- Frame Wealth Partners- DBA for LPL Business (entity for LPL business)- inv. related - at reported business location(s)- start date 12/23/2024- 10hrs/mnth-10hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-21
S63 Uniform Securities Agent State Law Examination 1998-11-05
  • S66 Uniform Combined State Law Examination
    2002-06-21
  • S63 Uniform Securities Agent State Law Examination
    1998-11-05
Other Names
  • Annette Freeman

View on SEC IAPD

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