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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • 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. Wauwatosa WI 11/1991 11/2024
Prudential Insurance Company Of America Wauwatosa WI 01/1992 Present
Lpl Enterprise, Llc Wauwatosa WI 11/2024 Present
Previous Registrations
Other Businesses

AETNA;GAURDIAN;MASSACHUSETTES MUTUAL DAD DETROIT HOLDINGS POSITION: None NATURE: Accommodation, Hospitality and Food Service INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2018 ADDRESS: 21111 Haggerty Road, Novi MI 48375, United States DESCRIPTION: None AMERICAN RESIDENTIAL INVESTMENT MANAGEMENT, LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: 835 Stadium Drive, Wake Forest NC 27587, United States DESCRIPTION: Passive Investor AMERICAN RESIDENTIAL INVESTMENT MANAGEMENT, LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: 855 Stadium Dr, Wake Forest NC 27587, United States DESCRIPTION: Passive Investor FOUR TWENTY CAPITAL ILLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/28/2020 ADDRESS: 22722 Burlington Court, Novi MI 48374, United States DESCRIPTION: Passive Investor 420 CAPITAL WESTNEDGE LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/31/2021 ADDRESS: 22722 Burlington Court, Novi MI 48374, United States DESCRIPTION: Passive Investor 420 CAPITAL 44TH GR LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/31/2021 ADDRESS: 22722 Burlington Court, Novi MI 48374, United States DESCRIPTION: Passive Investor 420 CAPITAL LEONARD GR LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/17/2021 ADDRESS: 22722 Burlington Court, Novi MI 48374, United States DESCRIPTION: Passive Investor BELTWAY HOU MANAGER, LLC POSITION: Passive Investor NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/22/2018 ADDRESS: 3710 Rawlins St, #1375, Dallas TX 75219, United States DESCRIPTION: Passive Investor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-06
S63 Uniform Securities Agent State Law Examination 1991-11-27
  • S65 Uniform Investment Adviser Law Examination
    1998-05-06
  • S63 Uniform Securities Agent State Law Examination
    1991-11-27
Other Names
  • Vjay Raj

View on SEC IAPD

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