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Duane Eugene Umphress

LPl Enterprise, LLC

Columbus, OH

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

One Easton Oval Suite 550, Columbus, OH 43219 • 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
Jpmorgan Securities Llc Westerville OH 08/2018 12/2019
Jp Morgan Chase Bank Na Columbus OH 11/2017 08/2018
Jp Morgan Chase Bank Na Columbus OH 10/2012 11/2017
Harbor Group Hilliard OH 01/2020 02/2020
The Prudential Insurance Company Of America Columbus OH 09/2023 Present
Pruco Securities Llc Columbus OH 09/2023 11/2024
Golden Reserve Dublin OH 05/2023 08/2023
Jp Morgan Securities Llc Westerville OH 12/2019 08/2021
Jp Morgan Securities Llc Westerville OH 08/2021 04/2023
Lpl Enterprise, Llc Columbus OH 11/2024 Present
  • 08/2018 → 12/2019
    Jpmorgan Securities Llc
    Westerville, OH
  • 11/2017 → 08/2018
    Jp Morgan Chase Bank Na
    Columbus, OH
  • 10/2012 → 11/2017
    Jp Morgan Chase Bank Na
    Columbus, OH
  • 01/2020 → 02/2020
    Harbor Group
    Hilliard, OH
  • 09/2023 → Present
    The Prudential Insurance Company Of America
    Columbus, OH
  • 09/2023 → 11/2024
    Columbus, OH
  • 05/2023 → 08/2023
    Golden Reserve
    Dublin, OH
  • 12/2019 → 08/2021
    Westerville, OH
  • 08/2021 → 04/2023
    Westerville, OH
  • 11/2024 → Present
    Columbus, OH
Previous Registrations
  • 2023-09-27 → 2024-11-14
    Columbus, OH
  • 2019-01-07 → 2023-04-07
    Westerville, OH
    Westerville, OH
    Westerville, OH
    Westerville, OH
    Westerville, OH
    Westerville, OH
    Chicago, IL
    Westerville, OH
    Westerville, OH
Other Businesses

1) 11/12/2024 - Grandad's Pizza & Pub - I will be bartending and serving at a restaurant - Outside/W-2 Employment - Non Inv Related - At Columbus, OH - Start Date 12/01/2024 - 30hrs/mth - 0hrs/mth During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-04
  • S66 Uniform Combined State Law Examination
    2019-01-04
Other Names
  • Duane Eugene Umphress
  • Duane Eugene Umphress

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