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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-11-14
TX RA APPROVED 2024-11-14
WV RA APPROVED 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED
    Since 2024-11-14
  • WV RA
    APPROVED
    Since 2024-11-14

Branch Locations

2009 Mackenzie Way Ste 100 Pmb 188, Cranberry Township, PA 16066 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Western Southern Life Monroeville PA 02/2010 07/2021
W&S Brokerage Services Cincinnati OH 04/2010 07/2021
Pruco Securities, Llc. Canonsburg PA 08/2021 11/2024
Prudential Insurance Company Of America Canonsburg PA 08/2021 Present
Lpl Enterprise, Llc Canonsburg PA 11/2024 Present
  • 02/2010 → 07/2021
    Western Southern Life
    Monroeville, PA
  • 04/2010 → 07/2021
    W&S Brokerage Services
    Cincinnati, OH
  • 08/2021 → 11/2024
    Canonsburg, PA
  • 08/2021 → Present
    Prudential Insurance Company Of America
    Canonsburg, PA
  • 11/2024 → Present
    Canonsburg, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-28
S63 Uniform Securities Agent State Law Examination 2011-04-25
  • S65 Uniform Investment Adviser Law Examination
    2020-12-28
  • S63 Uniform Securities Agent State Law Examination
    2011-04-25
Other Names
  • David C Trafican
  • David Charles Trafican

View on SEC IAPD

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