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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-11-14
SC RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • MD RA
    APPROVED
    Since 2024-11-14
  • SC RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

2F Industrial Park Dr, Waldorf, MD 20602 • United States

303 International Cir Ste 105, Cockeysville, MD 21030 • 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
Lincoln Financial Advisors Waldorf MD 11/2015 05/2021
Prudential Insurance Company Of America Charlotte Hall MD 05/2021 Present
Pruco Securities, Llc. Charlotte Hall MD 05/2021 11/2024
Lpl Enterprise, Llc Waldorf MD 11/2024 Present
  • 11/2015 → 05/2021
    Lincoln Financial Advisors
    Waldorf, MD
  • 05/2021 → Present
    Prudential Insurance Company Of America
    Charlotte Hall, MD
  • 05/2021 → 11/2024
    Charlotte Hall, MD
  • 11/2024 → Present
    Waldorf, MD
Previous Registrations
  • 2021-05-19 → 2024-11-14
    Waldorf, MD
    North Bethesda, MD
    Charlotte Hall, MD
  • 2015-11-02 → 2021-05-24
    Osaic Fa, Inc.
    Waldorf, MD
    Waldorf, MD
    Vienna, VA
  • 2012-05-11 → 2015-11-02
    La Plata, MD
    La Plata, MD
    Midlothian, VA
  • 2010-09-13 → 2012-05-04
    Dunkirk, MD
    La Plata, MD
    Laplata, MD
    Indian Head, MD
    Laplata, MD
    Lusby, MD
  • 2007-10-08 → 2010-09-16
    Truist Investment Services, Inc.
    Severna Park, MD
    Severna Park, MD
    Landover, MD
    Gambrills, MD
    Gambrills, MD
    Bladensburg, MD
    Hyattsville, MD
    Annapolis, MD
    Washington, DC
    Hyattsville, MD
  • 2002-07-15 → 2002-10-24
    Msi Financial Services, Inc.
    Linthicum, MD
Other Businesses

1) 11/19/2024- Dudley C Aist & Associates, Inc- Non-Variable Insurance- Healthcare group insurance- INV Related- At Waldorf, MD- Start date 05/16/2016- 2 HRS MTH- 2 HRS During Trading 2) 11/12/2024- Aist Wealth Planning- DBA for LPL Business (entity for LPL business)- Public Name for Financial Planning Business- INV Related- At Waldorf, MD- Start date 05/16/2016- 40 HRS MTH- 40 HRS During Trading 3) 11/19/2024- ECC- Other- Minister- not inv. related- at Charlotte Hall, MD- start date 05/16/2016- 4hrs/mnth-0hrs during trading 4) 11/14/2024-Georgeanne Aist-Representative-Non-Variable Insurance-In related-At reported business location(s)-Start date 05/16/2016-1hrs/mth-0hrs/mth during trading 5) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 6) 02/17/2026-Align Wealth Planning-Financial planning services-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 02/04/2026-40hrs/mth-40hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-06
S65 Uniform Investment Adviser Law Examination 2002-06-15
S63 Uniform Securities Agent State Law Examination 2002-01-02
  • S66 Uniform Combined State Law Examination
    2007-10-06
  • S65 Uniform Investment Adviser Law Examination
    2002-06-15
  • S63 Uniform Securities Agent State Law Examination
    2002-01-02
Other Names
  • Georgeanne Graydon Lumpkin
  • Georgeanne Graydon Lumpkin

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