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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
| WY | RA | APPROVED | 2024-11-14 |
Branch Locations
10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • United States
1450 Sw Vintage Pkwy Suite 225, Ankeny, IA 50023 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Ankeny | IA | 09/1990 | Present |
| Pruco Securities, Llc. | Ankeny | IA | 08/1990 | 11/2024 |
| Lpl Enterprise, Llc | Ankeny | IA | 11/2024 | Present |
1) 02/27/2025 - BASE - Non-Variable Insurance Commission Trails - I work with BASE, which is a United Healthcare Company, to set up Section 125 Plans on group health clients of mine that want this type of service. - INV Related - At Adel, IA - Start Date 08/09/2024 - 0hrs/mth - 0hrs During Trading 2) 11/18/2024- Group Benefits Limited- Non-Variable Insurance- GBL is a health insurance brokerage office that I sell a few of my health insurance products through- INV Related- At Ankeny, WA- Start date 10/01/2023- 4 HRS MTH- 0 HRS During Trading 3) 11/18/2024- Professional Insurance Planners and Consultants, aka PIPAC- Non-Variable Insurance- My primary brokerage agency for group and individual health insurance products and group insurance benefits.- INV Related- At Ankeny, WA- Start date 03/01/1996- 5 HRS MTH- 0 HRS During Trading 4) 11/18/2024 - Cardinal & Gold 365 Insurance Services, LLC - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date 08/01/2016 - 30hrs/mth - 15hrs During Trading 5) 11/15/2024 - Iowa Financial Partners Insurance & Financial Svcs, LLC - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date 04/01/2003 - 35hrs/mth - 20hrs During Trading 6) 03/03/2025 - Iowa Financial Partners - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date 04/01/2003 - 35hrs/mth - 20hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-04 |
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