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Richard Dale Stewart

LPl Enterprise, LLC

Montgomery, AL

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

4770 Woodmere Blvd Suite A Office 1, Montgomery, AL 36106 • 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
Prudential Insurance Company Of America Montgomery AL 04/2003 Present
Pruco Securities, Llc. Montgomery AL 04/2003 11/2024
Lpl Enterprise, Llc Montgomery AL 11/2024 Present
Previous Registrations
  • 2004-06-10 → 2024-11-14
    Pruco Securities, Llc.
    Montgomery, AL
    Montgomery, AL
    Montgomery, AL
    Montgomery, AL
    Atlanta, GA
    Atlanta, GA
    Ridgeland, MS
    Ridgeland, MS
Other Businesses

1) 03/07/2025- Prudential Financial-Property and Casualty-P & C agent for my clients- inv. related- at Montgomery, AL- start date 08/01/2003- 5hrs/mnth-5hrs during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-07-14
S65 Uniform Investment Adviser Law Examination 2003-06-17
  • S63 Uniform Securities Agent State Law Examination
    2003-07-14
  • S65 Uniform Investment Adviser Law Examination
    2003-06-17

View on SEC IAPD

Other Firms

RWC WEALTH MANAGEMENT, INC.
MARBLE WEALTH, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EAGLE STRATEGIES LLC
SYNOVUS SECURITIES, INC.
SUMMIT FINANCIAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
UBS FINANCIAL SERVICES INC.

Other Investors

RICHARD K.E. AKINYEMI
MATTHEW BLAKE MURPHY
Dustin Grant Hatfield
Emily Lauren Farrior
REBECCA HARDWICH BAKER
ADAM MILLER ROGERS
JEFFREY WRIGHT
PATRICK CLAY EDWARDS

Other Offices

RWC WEALTH MANAGEMENT, INC. · MONTGOMERY, AL
MARBLE WEALTH, LLC · MONTGOMERY, AL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Montgomery, AL
EAGLE STRATEGIES LLC · MONTGOMERY, AL
SYNOVUS SECURITIES, INC. · MONTGOMERY, AL
SUMMIT FINANCIAL, LLC · MONTGOMERY, AL
EAGLE STRATEGIES LLC · MONTGOMERY, AL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MONTGOMERY, AL

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