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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-18 |
| TX | RA | APPROVED_RES | 2024-11-14 |
| WI | RA | APPROVED | 2024-11-14 |
Branch Locations
W232 N6160 Waukesha Avenue, Sussex, WI 53089 • United States
10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Sussex | WI | 05/2009 | 11/2024 |
| Stratifi Strategic Financial Solutions | Sussex | WI | 06/2015 | Present |
| Lpl Enterprise, Llc | Sussex | WI | 11/2024 | Present |
1) 08/20/2024- N6160 Waukesha Ave LLC- Real Estate Rental- This is the building we own that we operate our individual/team practices out of. We rent out to other advisors with Prudential and an estate planning attorney.- NOT INV Related- At Sussex, WI- Start date 10/06/2017-216 HRS MTH- 160 HRS During Trading 2) 08/21/2024- StratiFi Strategic Financial Solutions- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s)-start date 06/01/2015-216hrs/mnth-160hrs during trading 3) 12/23/2024- StratiFi Strategic Financial Solutions- Non-Variable Insurance- This OBA is for sales of proprietary and non-proprietary fixed life insurance products- inv. related- at Sussex, WI- start date 12/16/2024- 4hrs/mnth-4hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2009-08-28 |
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