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Caroline Louis

LPl Enterprise, LLC

Denver, CO

Irvine, CA

CRD 7123619

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-11-14
CA RA APPROVED 2024-11-14
  • CO RA
    APPROVED
    Since 2025-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Denver, CO • United States

3333 Michelson Drive Suite 820, Irvine, CA 92612 • 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
Pruco Securities, Llc. Irvine CA 06/2020 11/2024
Abercrombie And Fitch Brea CA 02/2016 01/2017
Unemployed Fullerton CA 01/2017 05/2017
Pacific Associates Irvine CA 05/2017 03/2019
Unemployed Fullerton CA 03/2019 08/2019
Justin Gooding Irvine CA 08/2019 08/2020
Prudential Insurance Company Of America Irvine CA 08/2020 Present
Lpl Enterprise, Llc Irvine CA 11/2024 Present
  • 06/2020 → 11/2024
    Pruco Securities, Llc.
    Irvine, CA
  • 02/2016 → 01/2017
    Abercrombie And Fitch
    Brea, CA
  • 01/2017 → 05/2017
    Unemployed
    Fullerton, CA
  • 05/2017 → 03/2019
    Pacific Associates
    Irvine, CA
  • 03/2019 → 08/2019
    Unemployed
    Fullerton, CA
  • 08/2019 → 08/2020
    Justin Gooding
    Irvine, CA
  • 08/2020 → Present
    Prudential Insurance Company Of America
    Irvine, CA
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-21
  • S66 Uniform Combined State Law Examination
    2020-07-21

View on SEC IAPD

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