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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

Port Clinton, OH • 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 Mansfield OH 02/1977 Present
Pruco Securities, Llc. Mansfield OH 02/1977 11/2024
Lpl Enterprise, Llc Port Clinton OH 11/2024 Present
Previous Registrations
  • 2001-03-01 → 2024-11-14
    Mansfield, OH
    Port Clinton, OH
    Port Clinton, OH
    Mansfield, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-26
S63 Uniform Securities Agent State Law Examination 1999-10-26
  • S65 Uniform Investment Adviser Law Examination
    2001-01-26
  • S63 Uniform Securities Agent State Law Examination
    1999-10-26

View on SEC IAPD

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