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Alexander S Macgregor

LPl Enterprise, LLC

Troy, MI

Bay City, MI

CRD 5084614

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

Branch Locations

101 W Big Beaver Road Suite 705, Troy, MI 48084 • United States

612 Adams St, Bay City, MI 48708 • 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. Saginaw MI 02/2013 11/2024
Prudential Insurance Company Of America Saginaw MI 02/2013 Present
Lpl Enterprise, Llc Saginaw MI 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-02-10
S63 Uniform Securities Agent State Law Examination 2008-03-17
  • S65 Uniform Investment Adviser Law Examination
    2017-02-10
  • S63 Uniform Securities Agent State Law Examination
    2008-03-17
Other Names
  • Scott Macgregor

View on SEC IAPD

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