Best Investors Account Sign in
Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

Dalton, PA • United States

3 Abington Executive Park Suite 3, Clarks Summit, PA 18411 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Clarks Summit PA 02/1979 Present
Pruco Securities, Llc. Clarks Summit PA 02/1979 11/2024
Lpl Enterprise, Llc Clarks Summit PA 11/2024 Present
Previous Registrations
Other Businesses

1) 08/26/2024- B & E Realty- Real Estate Rental- General Building Administration Needs: 3 Abington Executive Park, Clarks Summit, Pa. 18411- Not INV Related- At Clarks Summit, PA- Start date 08/23/2004- 5 HRS MTH- 0 HRS During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-01
S63 Uniform Securities Agent State Law Examination 1985-02-19
  • S65 Uniform Investment Adviser Law Examination
    2000-05-01
  • S63 Uniform Securities Agent State Law Examination
    1985-02-19

View on SEC IAPD

More in Dalton, PA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor