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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-11-18
ME RA APPROVED 2024-11-14
  • FL RA
    APPROVED
    Since 2024-11-18
  • ME RA
    APPROVED
    Since 2024-11-14

Branch Locations

2178 Post Rd Suite 201, Wells, ME 04090 • United States

500 Edgewater Drive Suite 595, Wakefield, MA 01880 • 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
Fidelity Personal And Workplace Advisors Boston MA 07/2013 10/2018
Pruco Securities, Llc. Portland ME 10/2018 11/2024
Prudential Insurance Company Of America Portland ME 10/2018 Present
Lpl Enterprise, Llc Portland ME 11/2024 Present
  • 07/2013 → 10/2018
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 10/2018 → 11/2024
    Portland, ME
  • 10/2018 → Present
    Prudential Insurance Company Of America
    Portland, ME
  • 11/2024 → Present
    Portland, ME
Previous Registrations
  • 2018-12-10 → 2024-11-20
    Wakefield, MA
    South Portland, ME
    Portland, ME
    Wells, ME
  • 2018-07-13 → 2018-10-29
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2014-08-14 → 2018-07-13
    Merrimack, NH
Other Businesses

1) 2026-04-30 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Welkin Financial Planning - DBA for LPL Business (entity for LPL business) - Y - 200 - 130 - at reported business location(s) - 2026-04-29 - DBA for use in Financial Planning, Investment Advisory, and Insurance Business 2) 2025-07-08 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - - - at reported business location(s) - 2025-07-08 - ?Fixed life insurance through Prudential Individual Life Insurance (ILI). ?Fixed life, disability, and LTC through the Prudential sponsored Crump and Ash agreements. ?Healthcare business through the Prudential sponsored agreements with Benefit Mall and Emerson Rogers. 3) 2024-09-18 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Congress Street Financial Group - DBA for LPL Business (entity for LPL business) - Y - 80 - 80 - at reported business location(s) - 2024-09-09 - Sales and Service of Insurance and Investments

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-02
S63 Uniform Securities Agent State Law Examination 2013-05-24
  • S66 Uniform Combined State Law Examination
    2014-08-02
  • S63 Uniform Securities Agent State Law Examination
    2013-05-24

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