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Hyunseon Roe

LPl Enterprise, LLC

Sherman Oaks, CA

Montrose, CA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States

Montrose, CA • 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. Los Angeles CA 06/2006 11/2024
Prudential Insurance Company Of America Los Angeles CA 06/2006 Present
Lpl Enterprise, Llc Los Angeles CA 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-20
S63 Uniform Securities Agent State Law Examination 2006-07-27
  • S65 Uniform Investment Adviser Law Examination
    2021-08-20
  • S63 Uniform Securities Agent State Law Examination
    2006-07-27
Other Names
  • Karen Roe

View on SEC IAPD

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