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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-14
PA RA APPROVED 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14

Branch Locations

11 Sunflower Avenue Suite 2000, Paramus, NJ 07652 • United States

Byram Twp, NJ • 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
Landmark Financial Newton NJ 01/2002 09/2021
Quest Capital Strategies, Inc. Lake Forest CA 01/2009 12/2019
Sa Stone Wealth Management Andover NJ 12/2019 09/2021
Sa Stone Investment Advisory Andover NJ 12/2019 09/2021
Prudential Insurance Company Of America Paramus NJ 09/2021 Present
Pruco Securities, Llc. Paramus NJ 09/2021 11/2024
Lpl Enterprise, Llc Byram Twp NJ 11/2024 Present
  • 01/2002 → 09/2021
    Landmark Financial
    Newton, NJ
  • 01/2009 → 12/2019
    Quest Capital Strategies, Inc.
    Lake Forest, CA
  • 12/2019 → 09/2021
    Sa Stone Wealth Management
    Andover, NJ
  • 12/2019 → 09/2021
    Sa Stone Investment Advisory
    Andover, NJ
  • 09/2021 → Present
    Prudential Insurance Company Of America
    Paramus, NJ
  • 09/2021 → 11/2024
    Paramus, NJ
  • 11/2024 → Present
    Byram Twp, NJ
Previous Registrations
  • 2021-10-04 → 2024-11-14
    Paramus, NJ
    Byram Twp, NJ
    Byram Twp, NJ
    Andover, NJ
  • 2019-12-10 → 2021-09-24
    Birmingham, AL
    Andover, NJ
  • 2009-01-08 → 2019-12-23
    Quest Capital Strategies, Inc.
    Andover, NJ
    Andover, NJ
    Laguna Hills, CA
    Lake Forest, CA
  • 2006-11-07 → 2008-12-31
    Transamerica Financial Advisors, Inc.
    Stanhope, NJ
    Stanhope, NJ
    Newton, NJ
Other Businesses

1) 03/26/2025- Andover Regional Board of Education - Long Pond School- Outside/W-2 Employment- Part time duties as substitute custodian. Cleaning school after school hours.- not inv. related- at Newton, NJ- start date 04/01/2025- 24hrs/mnth-0hrs during trading 2) 04/10/2025- New Jersey State Interscholastic Athletic Association- Coach/ Sports/ Fitness- Officiating high school track and field meets- not inv. related- at Robbinsville, NJ- start date 04/07/2025- 10hrs/mnth-0hrs during trading 3) 02/05/2026-Milepoint Financial Services-Financial Advisor-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 02/09/2026-160hrs/mth-160hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-25
S63 Uniform Securities Agent State Law Examination 1999-10-04
  • S65 Uniform Investment Adviser Law Examination
    2006-05-25
  • S63 Uniform Securities Agent State Law Examination
    1999-10-04
Designations

View on SEC IAPD

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