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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

850 Bear Tavern Road Suite 105, Ewing Twp, NJ 08628 • 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
Kilo Capital Llc Charlotte NC 03/2018 12/2018
Ed&F Man Capital Markets New York NY 06/2017 10/2017
Axa Advisors, Llc. New York NY 06/2019 06/2020
Hsbc New York NY 01/1996 01/2017
Unemployed Holmdel NJ 02/2017 05/2017
Unemployed Holmdel NJ 11/2017 02/2018
Unemployed Holmdel NJ 01/2019 05/2019
Equitable Advisors, Llc New York NY 06/2019 06/2021
Pruco Securities, Llc. Ewing NJ 06/2021 11/2024
Prudential Insurance Company Of America Ewing NJ 06/2021 Present
Lpl Enterprise, Llc East Brunswick NJ 11/2024 Present
  • 03/2018 → 12/2018
    Kilo Capital Llc
    Charlotte, NC
  • 06/2017 → 10/2017
    Ed&F Man Capital Markets
    New York, NY
  • 06/2019 → 06/2020
    Axa Advisors, Llc.
    New York, NY
  • 01/1996 → 01/2017
    Hsbc
    New York, NY
  • 02/2017 → 05/2017
    Unemployed
    Holmdel, NJ
  • 11/2017 → 02/2018
    Unemployed
    Holmdel, NJ
  • 01/2019 → 05/2019
    Unemployed
    Holmdel, NJ
  • 06/2019 → 06/2021
    New York, NY
  • 06/2021 → 11/2024
    Ewing, NJ
  • 06/2021 → Present
    Prudential Insurance Company Of America
    Ewing, NJ
  • 11/2024 → Present
    East Brunswick, NJ
Previous Registrations
Other Businesses

1.09/27/2024; CLARK GROUP; Financial Advisor; YES inv related; 50 hr/mo non trading; 50 hr/mo trading; 01/05/2023 THE CLARK GROUP, LLC POSITION: Financial Advisor NATURE: Insurance and Investments through Prudential and Prudential Sponsored Outbrokerage INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 05/23/2023 ADDRESS: 850 Bear Tavern Road, Suite 105, Ewing Twp NJ 08626, United States DESCRIPTION: Sales and services of insurance and financial products

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-12-10
S63 Uniform Securities Agent State Law Examination 2019-08-27
  • S65 Uniform Investment Adviser Law Examination
    2019-12-10
  • S63 Uniform Securities Agent State Law Examination
    2019-08-27

View on SEC IAPD

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