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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-07-01
IN RA APPROVED 2026-06-30
  • IL RA
    APPROVED
    Since 2026-07-01
  • IN RA
    APPROVED
    Since 2026-06-30

Branch Locations

Edwardsville, IL • United States

221 W Pointe Dr, Swansea, IL 62226 • United States

8888 Keystone Crossing Suite 500, Indianapolis, IN 46240 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Springfield IL 03/2005 Present
Pruco Securities, Llc. Springfield IL 03/2005 11/2024
Lpl Enterprise, Llc Swansea IL 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-11
S63 Uniform Securities Agent State Law Examination 1996-04-11
  • S65 Uniform Investment Adviser Law Examination
    2005-06-11
  • S63 Uniform Securities Agent State Law Examination
    1996-04-11

View on SEC IAPD

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