Roger Madero

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:

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-11-14

CT RA
APPROVED

Since 2024-11-14

Branch Locations

Deep River, CT • United States

1 Corporate Drive Suite 205, Shelton, CT 06484 • 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

Organization	City	State	From	To
Pruco Securities, Llc.	South Windsor	CT	04/1993	11/2024
Prudential Insurance Company Of America	South Windsor	CT	04/1993	Present
Lpl Enterprise, Llc	Glastonbury	CT	11/2024	Present

04/1993 → 11/2024

Pruco Securities, Llc.

South Windsor, CT
04/1993 → Present

Prudential Insurance Company Of America

South Windsor, CT
11/2024 → Present

Lpl Enterprise, Llc

Glastonbury, CT

Previous Registrations

2001-08-10 → 2024-11-14

Pruco Securities, Llc.

Glastonbury, CT

South Windsor, CT

Deep River, CT

Other Businesses

1) 03/03/2025 - Prudential- Property and Casualty- Inforce book of P&C business of clients call 800 number for service.- inv. related- at Glastonbury, CT- start date 06/01/1993- 0hrs/mnth-0hrs during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2005-08-11
S65	Uniform Investment Adviser Law Examination	2001-06-28

S63 Uniform Securities Agent State Law Examination

2005-08-11
S65 Uniform Investment Adviser Law Examination

2001-06-28

View on SEC IAPD