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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-30 |
| NJ | RA | APPROVED | 2024-11-14 |
Branch Locations
30 Technology Drive South Suite 1-Q, Warren, NJ 07059 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Warren | NJ | 03/1975 | Present |
| Pruco Securities, Llc. | Warren | NJ | 03/1975 | 11/2024 |
| Lpl Enterprise, Llc | Warren | NJ | 11/2024 | Present |
1) 09/30/2024 - www.newprovidencefinancial.com - Manage and service clients' accounts - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 01/01/2024 - 160hrs/mth - 140hrs/mth During Trading 2) 09/30/2024 - WWW.CFS-NJ.COM - Manage and service clients' accounts - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 01/01/2024 - 160hrs/mth - 140hrs/mth During Trading 3) 09/24/2024 - NEW PROVIDENCE FINANCIAL LIC DBA - Manage and service clients' accounts - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 01/01/2024 - 160hrs/mth - 140hrs/mth During Trading 4) 09/24/2024 - Chartered Financial Services, LLC - Managing and servicing client's account - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 01/01/2024 - 160hrs/mth - 140hrs/mth During Trading 5) 09/24/2024 - Chartered Financial Services - Managing and servicing client's account - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 01/01/2024 - 160hrs/mth - 140hrs/mth During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-27 |
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