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Caroline Leventhal

LPl Enterprise, LLC

Brooklyn, NY

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-12-23
  • NY RA
    APPROVED
    Since 2024-12-23

Branch Locations

33 35Th Street Suite A410, Brooklyn, NY 11232 • 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
Allianz Global Investors U.S. Llc New York NY 01/2013 09/2016
Allianz Global Investors Distributors Llc New York NY 09/2016 02/2020
Pruco Securities Llc Forest Hills NY 06/2024 11/2024
Unemployed New York NY 02/2020 05/2021
Pricewaterhousecoopers New York NY 05/2021 10/2022
Unemployed New York NY 10/2022 06/2024
Lpl Enterprise, Llc Forest Hills NY 11/2024 Present
  • 01/2013 → 09/2016
    Allianz Global Investors U.S. Llc
    New York, NY
  • 09/2016 → 02/2020
    Allianz Global Investors Distributors Llc
    New York, NY
  • 06/2024 → 11/2024
    Pruco Securities Llc
    Forest Hills, NY
  • 02/2020 → 05/2021
    Unemployed
    New York, NY
  • 05/2021 → 10/2022
    Pricewaterhousecoopers
    New York, NY
  • 10/2022 → 06/2024
    Unemployed
    New York, NY
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Forest Hills, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-29
S63 Uniform Securities Agent State Law Examination 2005-08-22
  • S66 Uniform Combined State Law Examination
    2024-10-29
  • S63 Uniform Securities Agent State Law Examination
    2005-08-22
Other Names
  • Caroline Griffin Wilde
  • Caroline Wilde
  • Caroline Leventhal

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
EDWARD JONES
CITIGROUP GLOBAL MARKETS INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
SANTANDER SECURITIES LLC
COBBLESTONE WEALTH ADVISORS

Other Investors

JAMES DANIEL VAVAS
Anthony Joseph Cavalcante
JOSEPH JOHN COSENZA
CHARLES JOSEPH LAROCCA
JOHN STEVE VORVOLAKOS
DANIEL CLIFFORD GALLUZZO
ANDREW Michael LAROCCA
ANAND KUMAR DOOKIE

Other Offices

LPL FINANCIAL LLC · Brooklyn, NY
LPL FINANCIAL LLC · BROOKLYN, NY
J.P. MORGAN SECURITIES LLC · BROOKLYN, NY
CETERA INVESTMENT ADVISERS LLC · BROOKLYN, NY
EDWARD JONES · BROOKLYN, NY
J.P. MORGAN SECURITIES LLC · BROOKLYN, NY
CITIGROUP GLOBAL MARKETS INC. · BROOKLYN, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · Brooklyn, NY

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