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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

Rocky Hill, CT • United States

175 Capital Blvd. Suite 402, Rocky Hill, CT 06067 • 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
Wells Fargo Advisors Llc Glastonbury CT 11/2010 11/2016
Wells Fargo Clearing Services, Llc Glastonbury CT 11/2016 04/2018
Pruco Securities, Llc. Rocky Hill CT 04/2018 11/2024
Prudential Insurance Company Of America Rocky Hill CT 04/2018 Present
Lpl Enterprise, Llc Glastonbury CT 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-29
S63 Uniform Securities Agent State Law Examination 1994-07-15
  • S66 Uniform Combined State Law Examination
    2007-11-29
  • S63 Uniform Securities Agent State Law Examination
    1994-07-15
Designations

View on SEC IAPD

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