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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

600 Highway 169 Suite 1000, St Louis Park, MN 55426 • United States

415 South Main St. Suite 305, Aberdeen, SD 57401 • 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
Kovack Securities, Inc. Ft. Lauderdale FL 10/2011 09/2019
Schwan Financial Group/ Kovack Advisors Ft. Lauderdale FL 06/2011 09/2019
Raymond James Financial Services, Inc. Aberdeen SD 10/2018 05/2022
Cortrust Bank Aberdeen SD 10/2019 05/2022
Raymond James Financial Services Advisors, Inc. Aberdeen SD 10/2019 05/2022
Baseball Umpire For Local Tournaments Aberdeen SD 06/2021 07/2021
Cortrust Wealth-Management Aberdeen SD 11/2020 05/2022
Northwestern Mutual Insurance Services Llc Aberdeen SD 06/2022 05/2023
Lucas Bruns Aberdeen SD 06/2022 05/2023
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2022 05/2023
The Prudential Insurance Co. Of America St. Louis Park MN 06/2023 Present
Pruco Securities, Llc St. Louis Park MN 06/2023 11/2024
Lpl Enterprise, Llc St. Louis Park MN 11/2024 Present
  • 10/2011 → 09/2019
    Kovack Securities, Inc.
    Ft. Lauderdale, FL
  • 06/2011 → 09/2019
    Schwan Financial Group/ Kovack Advisors
    Ft. Lauderdale, FL
  • 10/2018 → 05/2022
    Raymond James Financial Services, Inc.
    Aberdeen, SD
  • 10/2019 → 05/2022
    Cortrust Bank
    Aberdeen, SD
  • 10/2019 → 05/2022
    Aberdeen, SD
  • 06/2021 → 07/2021
    Baseball Umpire For Local Tournaments
    Aberdeen, SD
  • 11/2020 → 05/2022
    Cortrust Wealth-Management
    Aberdeen, SD
  • 06/2022 → 05/2023
    Northwestern Mutual Insurance Services Llc
    Aberdeen, SD
  • 06/2022 → 05/2023
    Lucas Bruns
    Aberdeen, SD
  • 08/2022 → 05/2023
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 06/2023 → Present
    The Prudential Insurance Co. Of America
    St. Louis Park, MN
  • 06/2023 → 11/2024
    St. Louis Park, MN
  • 11/2024 → Present
    St. Louis Park, MN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-30
  • S66 Uniform Combined State Law Examination
    2008-12-30

View on SEC IAPD

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