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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • MO RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

213 West Clay St, Albany, MO 64402 • United States

12312 Olive Boulevard Suite 300, St Louis, MO 63141-6474 • 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
Pruco Securities, Llc. Springfield MO 09/1990 11/2024
Lpl Enterprise, Llc Albany MO 11/2024 Present
Previous Registrations
Other Businesses

1) 10/10/24- Eastfork Holdings LLC- Business Owner- I own and manage an RV Park- INV Related- At Albany, MO- Start date 01/01/2024- 8 HRS MTH- 0 HRS During Trading 2) 11/01/24- Craig Craven Estate- Act in a Fiduciary Capacity- Not INV Related- At Albany, MO- Start date 09/12/2023- 0 HRS MTH- 0 HRS During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-24
S63 Uniform Securities Agent State Law Examination 1990-10-29
  • S65 Uniform Investment Adviser Law Examination
    2000-03-24
  • S63 Uniform Securities Agent State Law Examination
    1990-10-29

View on SEC IAPD

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