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Richard John Sgroi

LPl Enterprise, LLC

Wakefield, MA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

500 Edgewater Drive Suite 595, Wakefield, MA 01880 • 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
OrganizationCityStateFromTo
Pruco Securities, Llc. Wakefield MA 07/1998 11/2024
Prudential Insurance Company Of America Wakefield MA 07/1998 Present
Lpl Enterprise, Llc Wakefield MA 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-08
S65 Uniform Investment Adviser Law Examination 2001-02-24
S63 Uniform Securities Agent State Law Examination 1999-03-20
  • S66 Uniform Combined State Law Examination
    2022-03-08
  • S65 Uniform Investment Adviser Law Examination
    2001-02-24
  • S63 Uniform Securities Agent State Law Examination
    1999-03-20

View on SEC IAPD

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