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Donna J Leekley-Garvey

LPl Enterprise, LLC

Sioux City, IA

CRD 1015499

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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
IA RA APPROVED 2024-11-14
NE RA APPROVED 2024-11-14
  • IA RA
    APPROVED
    Since 2024-11-14
  • NE RA
    APPROVED
    Since 2024-11-14

Branch Locations

4300 S. Lakeport Suite 105, Sioux City, IA 51106 • 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 Sioux City IA 08/1977 Present
Pruco Securities, Llc. Sioux City IA 08/1977 11/2024
Lpl Enterprise, Llc Sioux City IA 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-08
S63 Uniform Securities Agent State Law Examination 1984-07-20
  • S65 Uniform Investment Adviser Law Examination
    2001-05-08
  • S63 Uniform Securities Agent State Law Examination
    1984-07-20
Other Names
  • Donna J Leekleygarvey
  • Donna Leekley Garvey

View on SEC IAPD

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