Tracy Kent Rotman

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2025-09-23

CT RA
APPROVED

Since 2025-09-23

Branch Locations

1 Corporate Drive Suite 205, Shelton, CT 06484 • 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

Organization	City	State	From	To
Lpl Enterprise Llc	Shelton	CT	07/2025	Present
Unemployed	Oxford	CT	06/2023	07/2025
Elite Lawn Maintenance, Llc	Murrells Inlet	SC	01/2007	06/2023

07/2025 → Present

Lpl Enterprise Llc

Shelton, CT
06/2023 → 07/2025

Unemployed

Oxford, CT
01/2007 → 06/2023

Elite Lawn Maintenance, Llc

Murrells Inlet, SC

Other Businesses

1. 07/01/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Oxford, CT - Start Date 06/30/2025 - 160hrs/MTH 160hrs/MTH During Trading 2. 07/01/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Oxford, CT - Start Date 06/30/2025 - 160hrs/MTH 160hrs/MTH During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-09-23

S66 Uniform Combined State Law Examination

2025-09-23

View on SEC IAPD

Current Employers

Lpl Enterprise, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

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