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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
TX RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED
    Since 2024-11-14

Branch Locations

249 E. Ocean Blvd Suite 712, Long Beach, CA 90802 • 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
Transamerica Financial Advisors, Inc Irvine CA 05/2018 12/2022
World Financial Group, Inc. Irvine CA 08/2017 12/2022
Keystone Enterprises Llc Ontario CA 11/2013 07/2017
Pruco Securities Llc Orange CA 11/2022 11/2024
The Prudential Insurance Company Of America Orange CA 01/2023 Present
Lpl Enterprise, Llc Orange CA 11/2024 Present
  • 05/2018 → 12/2022
    Transamerica Financial Advisors, Inc
    Irvine, CA
  • 08/2017 → 12/2022
    World Financial Group, Inc.
    Irvine, CA
  • 11/2013 → 07/2017
    Keystone Enterprises Llc
    Ontario, CA
  • 11/2022 → 11/2024
    Orange, CA
  • 01/2023 → Present
    The Prudential Insurance Company Of America
    Orange, CA
  • 11/2024 → Present
    Orange, CA
Previous Registrations
Other Businesses

1) 08/26/2024- Non-sponsored Carrier Appointments- Non-Variable Insurance Commission Trails- Non-sponsored Carrier Appointments- INV Related- Orange, CA- Start Date 01/01/2018- 0hrs/mth- 0hrs during trading 2) 08/26/2024- Designest Services LLC- Real Estate Rental- Real Estate Development Rental and Leasing, 1026 N Turner Ave #224, Ontario CA 91764- Start Date 05/01/2016- 5hrs/mth- 0hrs during trading 3) 11/14/2024-Health Insurance Appointments-Non-Variable Insurance-Inv Related--At Rancho Cucamonga-Start date 01/01/2019-2hrs/mth-0hrs/mth during trading 4) 02/19/2025-Takwealth-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 02/11/2025-160hrs/mth-160hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-17
S63 Uniform Securities Agent State Law Examination 2019-03-29
  • S65 Uniform Investment Adviser Law Examination
    2023-01-17
  • S63 Uniform Securities Agent State Law Examination
    2019-03-29
Other Names
  • Mary S Huang

View on SEC IAPD

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