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Samuel J Warner

LPl Enterprise, LLC

Perrysburg, OH

CRD 5556426

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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
OH RA APPROVED 2024-11-14
  • OH RA
    APPROVED
    Since 2024-11-14

Branch Locations

28300 Kensington Lane Suite 300, Perrysburg, OH 43551 • 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. Maumee OH 06/2008 04/2022
Prudential Insurance Company Of America Maumee OH 06/2008 04/2022
Pruco Securities Llc Perrysburg OH 04/2022 11/2024
Prudential Insurance Company Of America Perrysburg OH 04/2022 Present
Lpl Enterprise, Llc Perrysburg OH 11/2024 Present
  • 06/2008 → 04/2022
    Maumee, OH
  • 06/2008 → 04/2022
    Prudential Insurance Company Of America
    Maumee, OH
  • 04/2022 → 11/2024
    Perrysburg, OH
  • 04/2022 → Present
    Prudential Insurance Company Of America
    Perrysburg, OH
  • 11/2024 → Present
    Perrysburg, OH
Previous Registrations

View on SEC IAPD

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