Javier Lugo

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-11-14
NY	RA	APPROVED	2024-11-14

NJ RA
APPROVED

Since 2024-11-14
NY RA
APPROVED

Since 2024-11-14

Branch Locations

57 Route 6 Suite 203A, Baldwin Place, NY 10505 • United States

360 Hamilton Ave 9Th Floor, White Plains, NY 10601 • United States

529 Rt 515 Suite 202 A And B, Vernon, NJ 07462 • 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

Organization	City	State	From	To
Prudential Insurance Company Of America	White Plains	NY	06/2008	Present
Prudential Insurance Company Of America	White Plains	NY	06/2008	Present
Pruco Securities, Llc.	White Plains	NY	06/2008	11/2024
Lpl Enterprise, Llc	Vernon	NJ	11/2024	Present

06/2008 → Present

Prudential Insurance Company Of America

White Plains, NY
06/2008 → Present

Prudential Insurance Company Of America

White Plains, NY
06/2008 → 11/2024

Pruco Securities, Llc.

White Plains, NY
11/2024 → Present

Lpl Enterprise, Llc

Vernon, NJ

Previous Registrations

2021-06-07 → 2024-11-14

Pruco Securities, Llc.

White Plains, NY

New York, NY

Vernon, NJ

White Plains, NY

Other Businesses

1) 09/04/2024 - Pesce Financial - Financial Planner on a team - DBA for LPL Business (entity for LPL business) - Inv Related - At Vernon, NJ - Start Date 08/22/2024 - 1hrs/mth - 1hrs/mth During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-04-22
S63	Uniform Securities Agent State Law Examination	2008-10-02

S65 Uniform Investment Adviser Law Examination

2013-04-22
S63 Uniform Securities Agent State Law Examination

2008-10-02

Designations

View on SEC IAPD