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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-02
NJ RA APPROVED 2024-11-21
AR RA APPROVED 2024-11-14
IL RA APPROVED 2024-11-14
KS RA APPROVED 2024-11-14
MO RA APPROVED 2024-11-14
OK RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • FL RA
    APPROVED
    Since 2025-01-02
  • NJ RA
    APPROVED
    Since 2024-11-21
  • AR RA
    APPROVED
    Since 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • KS RA
    APPROVED
    Since 2024-11-14
  • MO RA
    APPROVED
    Since 2024-11-14
  • OK RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

Naples, FL • United States

4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Tampa FL 09/2013 Present
Pruco Securities Llc Tampa FL 09/2013 11/2024
Lpl Enterprise, Llc Newark NJ 11/2024 Present
Previous Registrations
  • 2013-09-24 → 2024-11-14
    St Louis, MO
    St. Louis, MO
    Newark, NJ
    Newark, NJ
    Newark, NJ
    Tampa, FL
    Naples, FL
    Newark, NJ
    West Palm Beach, FL
    West Palm Beach, FL
    Naples, FL
  • 2009-09-30 → 2013-09-09
    New England Securities
    St. Louis, MO
    St. Louis, MO
  • 2006-04-25 → 2009-09-23
    Creve Coeur, MO
  • 2004-04-05 → 2006-04-26
    St Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-02-27
S63 Uniform Securities Agent State Law Examination 1990-11-06
  • S65 Uniform Investment Adviser Law Examination
    2003-02-27
  • S63 Uniform Securities Agent State Law Examination
    1990-11-06

View on SEC IAPD

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