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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

New York, NY • United States

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • 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 New York NY 02/1974 Present
Pruco Securities, Llc. New York NY 02/1974 11/2024
Lpl Enterprise, Llc New York NY 11/2024 Present
Previous Registrations
Other Businesses

1) 11/11/2024- Assured Partners Northeast LLC- Non-Prudential Insurance Business- Property and Casualty- INV Related- New York, NY- Start Date 10/01/2024- 4hrs/mth- 4hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-02
S63 Uniform Securities Agent State Law Examination 1994-07-18
  • S65 Uniform Investment Adviser Law Examination
    1997-06-02
  • S63 Uniform Securities Agent State Law Examination
    1994-07-18

View on SEC IAPD

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