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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-09-08 |
| TX | RA | APPROVED | 2025-09-08 |
Branch Locations
100 College Parkway Suite 220, Williamsville, NY 14221 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Reynoldsville | PA | 12/2010 | 09/2025 |
| Principal Securities Inc | East Amherst | NY | 09/1981 | 09/2025 |
| Lpl Enterprise Llc | Williamsville | NY | 09/2025 | Present |
1. 08/26/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - East Amherst, NY - Start Date 08/25/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 08/26/2025 - KENNETH WOHLBERG N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - East Amherst, NY - Start Date 08/25/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-03 |
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