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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

20 Luzerne Avenue, West Pittston, PA 18643 • United States

519 Main Street, Honesdale, PA 18431 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. West Pittston PA 01/1996 11/2024
Lpl Enterprise, Llc Honesdale PA 11/2024 Present
Previous Registrations
  • 2011-09-13 → 2024-11-14
    Scranton, PA
    West Pittston, PA
    Honesdale, PA
    Moosic, PA
    Camp Hill, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-23
S63 Uniform Securities Agent State Law Examination 1996-04-10
  • S65 Uniform Investment Adviser Law Examination
    2001-02-23
  • S63 Uniform Securities Agent State Law Examination
    1996-04-10
Other Names
  • Randy Swank

View on SEC IAPD

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