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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

2325 East Camelback Road Suite 100, Phoenix, AZ 85016 • United States

Cheyenne, WY • 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. Cheyenne WY 03/1991 11/2024
Lpl Enterprise, Llc Cheyenne WY 11/2024 Present
Previous Registrations
  • 2014-02-25 → 2024-11-14
    Cheyenne, WY
    Centennial, CO
    Cheyenne, WY
    Phoenix, AZ
    Cheyenne, WY
    Cheyenne, WY
Other Businesses

1) 08/15/2024- 3 GRAYS LLC- Real Estate Rental- Rental home where cost and profits are equally shared, no income now or seen in near future until sale , the rental property is 3562 N Kashmir, Mesa, Az, business office address 2714 E Rawhide St, Gilbert, Az- INV Related- AT Cheyenne, WY- Start Date- 09/15/2022- O HRS MTH- 0 HRS During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-30
S63 Uniform Securities Agent State Law Examination 1991-05-20
  • S65 Uniform Investment Adviser Law Examination
    2001-04-30
  • S63 Uniform Securities Agent State Law Examination
    1991-05-20

View on SEC IAPD

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