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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14

Branch Locations

1901 Butterfield Road Suite 250, Downers Grove, IL 60515 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Rosemont IL 11/2013 12/2017
Pruco Securities Llc Rosemont IL 11/2013 12/2017
Massachusetts Mutual Life Insurance Company Downers Grove IL 01/2018 07/2018
Mml Investors Services, Llc Downers Grove IL 01/2018 07/2018
Pruco Securities, Llc. Downers Grove IL 01/2019 11/2024
Prudential Insurance Company Of America Downers Grove IL 01/2019 Present
State Farm Downers Grove IL 07/2018 12/2018
Lpl Enterprise, Llc Downers Grove IL 11/2024 Present
  • 11/2013 → 12/2017
    The Prudential Insurance Company Of America
    Rosemont, IL
  • 11/2013 → 12/2017
    Rosemont, IL
  • 01/2018 → 07/2018
    Massachusetts Mutual Life Insurance Company
    Downers Grove, IL
  • 01/2018 → 07/2018
    Downers Grove, IL
  • 01/2019 → 11/2024
    Downers Grove, IL
  • 01/2019 → Present
    Prudential Insurance Company Of America
    Downers Grove, IL
  • 07/2018 → 12/2018
    State Farm
    Downers Grove, IL
  • 11/2024 → Present
    Downers Grove, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-23
S63 Uniform Securities Agent State Law Examination 2012-06-19
  • S65 Uniform Investment Adviser Law Examination
    2013-10-23
  • S63 Uniform Securities Agent State Law Examination
    2012-06-19
Other Names
  • Ann Therese O'BRien
  • Ann Todisco

View on SEC IAPD

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