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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

118 W State St, Hastings, MI 49058 • United States

101 W Big Beaver Road Suite 705, Troy, MI 48084 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Hastings MI 07/2015 11/2024
Prudential Insurance Company Of America Hastings MI 07/2015 Present
Lpl Enterprise, Llc Hastings MI 11/2024 Present
Previous Registrations
  • 2015-12-15 → 2024-11-14
    Troy, MI
    Ada, MI
    Hastings, MI
    Hastings, MI
  • 2013-11-14 → 2015-07-17
    Investment Professionals, Inc.
    San Antonio, TX
    Hastings, MI
    Marshall, MI
  • 2012-03-21 → 2013-03-19
    Investment Professionals, Inc.
    San Antonio, TX
    Hastings, MI
  • 2010-12-16 → 2012-01-04
    Kalamazoo, MI
    Tempe, AZ
    Tempe, AZ
Other Businesses

1) 08/29/2024 - Bear Claw Holdings, LLC - Bear Claw Holdings, LLC is the owner of 118 W State St, Hastings MI 49058 - Real Estate Rental - Inv Related - At HASTINGS, MI - Start Date 01/25/2018 - 2hrs/mth - 0hrs/mth During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-03
  • S66 Uniform Combined State Law Examination
    2010-12-03

View on SEC IAPD

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