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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • MO RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

170 English Landing Drive Suite 221B, Parkville, MO 64152 • United States

12312 Olive Boulevard Suite 300, St Louis, MO 63141-6474 • 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. Parkville MO 11/1995 11/2024
Prudential Insurance Company Of America Parkville MO 11/1995 Present
Lpl Enterprise, Llc Parkville MO 11/2024 Present
Previous Registrations
  • 2000-10-26 → 2024-11-14
    Parkville, MO
    St. Louis, MO
    St. Louis, MO
    Overland Park, KS
Other Businesses

1) 11/18/2024- Real Estate Rental- Owner of property- INV Related- Parkville, MO- Start Date 07/07/1995- 1hrs/mth- 0hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-16
S63 Uniform Securities Agent State Law Examination 1995-12-15
  • S65 Uniform Investment Adviser Law Examination
    2000-10-16
  • S63 Uniform Securities Agent State Law Examination
    1995-12-15

View on SEC IAPD

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