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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-11-27
GA RA APPROVED 2024-09-30
SC RA APPROVED 2024-09-26
  • TX RA
    APPROVED
    Since 2024-11-27
  • GA RA
    APPROVED
    Since 2024-09-30
  • SC RA
    APPROVED
    Since 2024-09-26

Branch Locations

Sugar Hill, GA • United States

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

Sugar Hill, GA • 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
Prudential Insurance Company Of America Atlanta GA 02/2003 12/2016
Pruco Securities,Llc Atlanta GA 02/2003 12/2016
Pruco Securities, Llc Atlanta GA 08/2017 03/2018
The Prudential Insurance Company Of America Atlanta GA 08/2017 03/2018
Retired Sugar Hill GA 01/2017 08/2017
The Prudential Insurance Company Of America Atlanta GA 10/2018 08/2020
Pruco Securities, Llc Atlanta GA 10/2018 08/2020
Retired None GA 03/2018 10/2018
Pruco Securities, Llc. Sugar Hill GA 08/2020 09/2024
Prudential Insurance Company Of America Sugar Hill GA 08/2020 09/2024
Lpl Enterprise, Llc Fort Mill SC 09/2024 Present
  • 02/2003 → 12/2016
    Prudential Insurance Company Of America
    Atlanta, GA
  • 02/2003 → 12/2016
    Pruco Securities,Llc
    Atlanta, GA
  • 08/2017 → 03/2018
    Atlanta, GA
  • 08/2017 → 03/2018
    The Prudential Insurance Company Of America
    Atlanta, GA
  • 01/2017 → 08/2017
    Retired
    Sugar Hill, GA
  • 10/2018 → 08/2020
    The Prudential Insurance Company Of America
    Atlanta, GA
  • 10/2018 → 08/2020
    Atlanta, GA
  • 03/2018 → 10/2018
    Retired
    None, GA
  • 08/2020 → 09/2024
    Sugar Hill, GA
  • 08/2020 → 09/2024
    Prudential Insurance Company Of America
    Sugar Hill, GA
  • 09/2024 → Present
    Fort Mill, SC
Previous Registrations
Other Businesses

1) 11/28/2023-Public Notary-Inv Related-At Sugar Hill, GA-Start date 10/04/2019-0hrs/mth 2) Hold a GA state license but do not sell any products

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-27
S63 Uniform Securities Agent State Law Examination 1999-04-12
  • S66 Uniform Combined State Law Examination
    2024-06-27
  • S63 Uniform Securities Agent State Law Examination
    1999-04-12

View on SEC IAPD

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