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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-04-24
  • NY RA
    APPROVED
    Since 2026-04-24

Branch Locations

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • 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
Bank Of America, N.A. Bayside NY 09/2017 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bayside NY 09/2016 09/2017
Jp Morgan Securities Llc Oakland Gardens NY 10/2017 04/2019
Yoga Journey Douglaston NY 01/2015 02/2026
Lpl Enterprise Llc New York NY 04/2026 Present
Micro1 Palo Alto CA 03/2026 Present
Alignium Labs Inc Great Neck NY 01/2026 Present
Previous Registrations
Other Businesses

1. 04/24/2026 - Nina, Li N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Great Neck NY - Inv Related - OBA Start Date: 04/23/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 2. 04/24/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Great Neck NY - Inv Related - OBA Start Date: 04/23/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 3. 04/24/2026 - Alignium Labs Inc - Other - Great Neck NY - Not Inv Related - OBA Start Date: 01/14/2026 - 5 Hour(s)/Month - 0 Hour(s) During Trading 4. 04/24/2026 - Rental Property - Real Estate Rental - Portland OR - Inv Related - OBA Start Date: 01/01/2015 - 0 Hour(s)/Month - 0 Hour(s) During Trading 5. 04/24/2026 - Rental Property - Real Estate Rental - Waxhaw NC - Inv Related - OBA Start Date: 07/01/2021 - 0 Hour(s)/Month - 0 Hour(s) During Trading 6. 04/24/2026 - Rental property - Real Estate Rental - Austin TX - Inv Related - OBA Start Date: 01/01/2021 - 0 Hour(s)/Month - 0 Hour(s) During Trading 7. 04/24/2026 - Micro1 - Outside/W-2 Employment - Palo Alto CA - Not Inv Related - OBA Start Date: 03/29/2026 - 20 Hour(s)/Month - 0 Hour(s) During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2026-06-10
S66 Uniform Combined State Law Examination 2014-07-14
  • S63 Uniform Securities Agent State Law Examination
    2026-06-10
  • S66 Uniform Combined State Law Examination
    2014-07-14
Designations
Other Names
  • Nina Li

View on SEC IAPD

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