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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 2025-04-01
NC RA APPROVED 2024-11-14
PA RA APPROVED 2024-11-14
SC RA APPROVED 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • NC RA
    APPROVED
    Since 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14
  • SC RA
    APPROVED
    Since 2024-11-14

Branch Locations

884 Allbritton Boulevard Suite 205, Mt. Pleasant, SC 29464 • United States

2700 Kelly Road Suite 100D, Warrington, PA 18976 • United States

5605 Carnegie Blvd Ste 240, Charlotte, NC 28209 • United States

Disclosures

2 disclosure categories 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Chalfont PA 06/2007 Present
Pruco Securities, Llc. Chalfont PA 06/2007 11/2024
Lpl Enterprise, Llc Charlotte NC 11/2024 Present
Previous Registrations
  • 2013-09-19 → 2024-11-14
    Warrington, PA
    Needham, MA
    Mt. Pleasant, SC
    Mt. Pleasant, SC
    Charlotte, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-07-16
S66 Uniform Combined State Law Examination 2005-08-16
  • S63 Uniform Securities Agent State Law Examination
    2007-07-16
  • S66 Uniform Combined State Law Examination
    2005-08-16
Other Names
  • Janes Francis Mccarthy

View on SEC IAPD

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