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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-12
CA RA APPROVED 2025-07-21
IL RA APPROVED 2025-07-21
  • TX RA
    APPROVED_RES
    Since 2026-06-12
  • CA RA
    APPROVED
    Since 2025-07-21
  • IL RA
    APPROVED
    Since 2025-07-21

Branch Locations

Chicago, IL • United States

20 North Wacker Drive Suite 3010, Chicago, IL 60606 • 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
Brushwood Center Riverwoods IL 09/2020 12/2024
Lake Forest Symphony Lake Forest IL 09/2014 02/2020
Schmidt Artists New York NY 05/2012 Present
Thrivent Investment Management Inc Chicago IL 03/2021 05/2022
Thrivent Financial Appleton WI 03/2021 07/2021
Thrivent Financial Minneapolis MN 07/2021 05/2022
The Prudential Insurance Company Of America Chicago IL 05/2022 08/2023
Pruco Securities Llc Chicago IL 05/2022 08/2023
Guardian Life Insurance San Diego CA 09/2023 07/2025
Park Avenue Securities San Diego CA 09/2023 07/2025
Guardian Life Insurance Company Oakbrook Terrace IL 12/2023 07/2025
Park Avenue Securities Oakbrook Terrace IL 12/2023 07/2025
Lpl Enterprise Llc Chicago IL 07/2025 Present
  • 09/2020 → 12/2024
    Brushwood Center
    Riverwoods, IL
  • 09/2014 → 02/2020
    Lake Forest Symphony
    Lake Forest, IL
  • 05/2012 → Present
    Schmidt Artists
    New York, NY
  • 03/2021 → 05/2022
    Chicago, IL
  • 03/2021 → 07/2021
    Thrivent Financial
    Appleton, WI
  • 07/2021 → 05/2022
    Thrivent Financial
    Minneapolis, MN
  • 05/2022 → 08/2023
    The Prudential Insurance Company Of America
    Chicago, IL
  • 05/2022 → 08/2023
    Chicago, IL
  • 09/2023 → 07/2025
    Guardian Life Insurance
    San Diego, CA
  • 09/2023 → 07/2025
    Park Avenue Securities
    San Diego, CA
  • 12/2023 → 07/2025
    Guardian Life Insurance Company
    Oakbrook Terrace, IL
  • 12/2023 → 07/2025
    Park Avenue Securities
    Oakbrook Terrace, IL
  • 07/2025 → Present
    Chicago, IL
Previous Registrations
Other Businesses

1. 07/15/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - San Diego, CA - Start Date 07/14/2025 - 160 HRS/ MO | 160 HRS/MO DURING TRADING 2. 07/15/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - San Diego, CA - Start Date 07/14/2025 - 160 HRS/ MO | 160 HRS/MO DURING TRADING 3. 07/15/2025 - Pupin Initiative - Non-Profit Board Member - NOT INV REL - Washington, DC - Start Date 05/05/2024 - 2 HRS/MO | 0 HRS/MO DURING TRADING 4. 07/15/2025 - Schmidt Artists International - Coach/ Sports/ Fitness - NOT INV REL - New York, NY - Start Date 02/02/2012 - 5 HRS/MO | 0 HRS/MO DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-06
  • S66 Uniform Combined State Law Examination
    2021-05-06

View on SEC IAPD

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