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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-08-19
MA RA APPROVED 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2025-08-19
  • MA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Auburn, MA • United States

500 Edgewater Drive Suite 595, Wakefield, MA 01880 • United States

257 Turnpike Rd Suite 300, Southborough, MA 01772 • 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
Prudential Insurance Company Of America Marlborough MA 08/2013 Present
Pruco Securities, Llc. Marlborough MA 08/2013 11/2024
Lpl Enterprise, Llc Marlborough MA 11/2024 Present
Previous Registrations
Other Businesses

1) 03/13/2025- Prudential- Property and Casualty- I am licensed to sell P&C, but I am not currently active in that area of business.- inv. related- at Marlborough, MA - start date 10/10/2013- 0hrs/mnth-0hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-23
S63 Uniform Securities Agent State Law Examination 2013-11-23
  • S65 Uniform Investment Adviser Law Examination
    2014-09-23
  • S63 Uniform Securities Agent State Law Examination
    2013-11-23

View on SEC IAPD

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