Charles Louis Brohawn

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1992 → 11/2024
  Pruco Securities, Llc.
  Federalsburg, MD
• 11/2024 → Present
  Lpl Enterprise, Llc
  Federalsburg, MD

Previous Registrations

• 2001-02-28 → 2024-11-14
  Pruco Securities, Llc.
  Federalsburg, MD
  Newark, DE
  Camp Hill, PA
  Camp Hill, PA
  North Bethesda, MD

Other Businesses

1) 08/26/2024- Real Estate Rental- Riverview Investments, LLC- I manage the property, find tenants, negotiate leases, collect rent, pay bills and oversee the maintenance of the property. 116 S. Main St. Federalsburg, MD 21632- INV Related- At Federalsburg, MD- Start date 06/26/2002- 5 HRS MTH- 0 HRS During Trading 2) 08/26/2024- Creekside Rentals, LLC- Real Estate Rental- I own/manage the 4 unit mixed used rental property. I choose tenants, sign leases, collect rent, pay bills and oversee the maintenance of the property. The address of the property is 105 E. Central Ave., Federalsburg, MD 21632- At Federalsburg, MD- Start date 07/02/2007- 5 HRS MTH- 0 HRS During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-22
• S63 Uniform Securities Agent State Law Examination
  1996-05-09

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Charles Louis Jr Brohawn