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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-14
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

7854 Oswego Road Suite 202, Liverpool, NY 13090 • 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
Pruco Securities, Llc. Dewitt NY 04/2011 11/2024
Prudential Insurance Company Of America Dewitt NY 04/2011 Present
Lpl Enterprise, Llc Liverpool NY 11/2024 Present
Previous Registrations
Other Businesses

1) 11/14/2024 - Integrated Financial Group - I am a financial planner in the financial services practice this DBA is for - DBA for LPL Business (entity for LPL business) - Inv Related - At Liverpool, NY - Start Date 06/13/2018 - 160hrs/mth - 130hrs/mth During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-18
S63 Uniform Securities Agent State Law Examination 2011-06-03
  • S65 Uniform Investment Adviser Law Examination
    2013-12-18
  • S63 Uniform Securities Agent State Law Examination
    2011-06-03

View on SEC IAPD

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