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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2025-08-01 |
Branch Locations
4030 Smith Road Suite 200 Office 5, Cincinnati, OH 45209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Batavia | OH | 09/2005 | 04/2025 |
| Pruco Securities, Llc. | Batavia | OH | 09/2005 | 04/2025 |
| Lpl Enterprise Llc | Columbus | OH | 07/2025 | Present |
| Unemployed | Batavia | OH | 04/2025 | 07/2025 |
1. 07/30/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Batavia, OH - Start Date 07/29/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 07/30/2025 - VANCE COPENHAVER N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Batavia, OH - Start Date 07/29/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 07/30/2025 - Ken and Luanne Copenhaver - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 06/28/2021 - 0 HRS/MO | 0 HRS/MO DURING TRADING 4. 07/30/2025 - Jacqueline and Jim Pohlman - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 06/01/2021 - 0 HRS/MO | 0 HRS/MO DURING TRADING 5. 07/30/2025 - Jack and Lucille Cox - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 10/01/2014 - 0 HRS/MO | 0 HRS/MO DURING TRADING 6. 07/30/2025 - Ken Copenhaver - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 02/01/2011 - 0 HRS/MO | 0 HRS/MO DURING TRADING 7. 07/30/2025 - Horse Training - Farm - NOT INV REL - Batavia, OH - Start Date 01/01/2024 - 6 HRS/MO | 0 HRS/MO DURING TRADING 8. 04/17/2026-Seven Hills Financial Group-Financial Advisor-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date-04/20/2026-40hrs/mth-40hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-13 |
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