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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-11-14

Branch Locations

Longbeach Township, NJ • United States

135 Us Highway 202/206 Suite 3, Bedminster, NJ 07921 • 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. Basking Ridge NJ 03/1991 11/2024
Pruco Securities, Llc. Basking Ridge NJ 03/1991 11/2024
Lpl Enterprise, Llc Basking Ridge NJ 11/2024 Present
Previous Registrations
Other Businesses

1) 03/03/2025- Prudential- Property and Casualty- Sale and Service of Property Casualty Insurance- inv. related- at Basking Ridge, NJ- start date 05/13/1991- 120hrs/mnth-120hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-05-14
S63 Uniform Securities Agent State Law Examination 2008-03-21
  • S65 Uniform Investment Adviser Law Examination
    2021-05-14
  • S63 Uniform Securities Agent State Law Examination
    2008-03-21

View on SEC IAPD

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