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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-09 |
Branch Locations
4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Yogurt Mill | El Cajon | CA | 07/2019 | Present |
| Starbucks | El Cajon | CA | 11/2018 | 07/2019 |
| Unemployed | El Cajon | CA | 05/2018 | 11/2018 |
| High School Student | El Cajon | CA | 08/2014 | 05/2018 |
| Lpl Enterprise Llc | San Diego | CA | 03/2025 | Present |
1) 2026-04-22 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - SummitWise Financial Group - DBA for LPL Business (entity for LPL business) - Y - 160 - 130 - at reported business location(s) - 2026-03-31 - My team wanted to have a DBA so they created Summit Wise Financial 2) 2025-03-07 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - 160 - 160 - at reported business location(s) - 2025-02-27 - This OBA is for outside insurance only (i.e. fixed life, LTC, health, etc.). All fixed annuity business must be submitted through LPLE¿s approved annuity order entry system and not conducted as an OBA. P&C insurance must be submitted via separate OBA type. 3) 2025-03-07 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Y - 160 - 160 - at reported business location(s) - 2025-02-27 - Pursuant to a strategic relationship between Prudential, LPL Enterprise, LLC (¿LPLE¿), and LPL Financial LLC (¿LPLF¿), Prudential Advisors financial professionals provide securities brokerage services and/or investment advice on securities solely as registered persons of LPL Enterprise, an affiliate of LPL Financial. LPLE and LPLF are not affiliated with Prudential. 4) 2025-03-07 - The Yogurt Mill - Outside/W-2 Employment - N - 80 - 50 - El Cajon CA - 2025-02-27 - I am a part-time server at the Yogurt mill. Responsibilities include assisting customers, handling cash transactions, maintaining cleanliness, and preparing yogurt orders. No financial services or securities-related activities are involved. Furthermore, I have full flexibility in my schedule here, and plan to transition to primarily evening shifts, and less hours to ensure there is no overlap with my responsibilities at Prudential, provided that this OBA is approved.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-06-07 |
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