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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
MN RA APPROVED 2024-11-14
UT RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14
  • MN RA
    APPROVED
    Since 2024-11-14
  • UT RA
    APPROVED
    Since 2024-11-14

Branch Locations

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States

12100 Wilshire Boulevard Suite 815, Los Angeles, CA 90025 • 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
Pruco Securities,Llc Los Angeles CA 06/1981 11/2024
The Prudential Insurance Company Of America Los Angeles CA 06/1981 Present
California Health Benefit Exchange Los Angeles CA 12/2013 09/2022
Lpl Enterprise, Llc Los Angeles CA 11/2024 Present
  • 06/1981 → 11/2024
    Pruco Securities,Llc
    Los Angeles, CA
  • 06/1981 → Present
    The Prudential Insurance Company Of America
    Los Angeles, CA
  • 12/2013 → 09/2022
    California Health Benefit Exchange
    Los Angeles, CA
  • 11/2024 → Present
    Los Angeles, CA
Previous Registrations
  • 2002-03-21 → 2024-11-14
    Los Angeles, CA
    Los Angeles, CA
    El Segundo, CA
    Sherman Oaks, CA
    Los Angeles, CA
    Sherman Oaks, CA
Other Businesses

1) 01/16/2025 - Atlas RE - Real Estate Rental - Atlas RE manages the following properties for LLCs listed above: 8740 S. Lafayette Av. Chicago IL 60620 - INV Related - At Beverly Hills, CA - Start date 03/10/2022 - 1hrs/mth - 0hrs During Trading 2) 12/18/2024 - self - Non-Variable Insurance/Insurance Agency - market individual medical insurance - Inv Related - At Los Angeles CA - Start Date 07/07/1981 - 1hr/mth - 0hrs during trading 3) 01/16/2025 - ATLAS RE - Real Estate Rental - Atlas RE manages the following properties for the owners listed above: 145 S Western Ave Chicago, IL 60612 - 100 S Northwest Hwy Park Ridge IL 60068 - 1000 E 162nd St South Holland, IL 60473 - INV Related - At Beverly Hills, CA - Start Date 1/12/2022 - 2hrs/mth - 0hrs During Trading 4) 01/16/2025 - ATLAS RE - Real Estate Rental - Atlas RE manages the following property for the owners listed above: 3722-3738 Tweedy Blvd Southgate CA 90280 - INV Related - At Beverly Hills, CA - Start Date 12/1/2004 - 10hrs/mth - 1hrs During Trading 5) 01/16/2025 - ATLAS RE - Real Estate Rental - Atlas RE manages the following property for the owners listed above: 4749 Artesia Blvd Lawndale CA 90260 - INV Related - At Beverly Hills, CA - Start Date 5/01/2012 - 1hrs/mth - 0hrs During Trading 6) 01/16/2025 - ATLAS RE - Real Estate Rental - Atlas RE manages the following property for the owners listed above: 8531 S Figueroa St Los Angeles 90003 - INV Related - At Beverly Hills, CA - Start Date 05/01/2012 - 0hrs/mth - 0hrs During Trading 7) 01/16/2025 - NIC RE Management - Real Estate Rental - NIC RE Management manages the following property for the owners listed above: 8531 S Figueroa St Los Angeles 90003 - INV Related - At Los Angeles, CA - Start Date 06/01/2004 - 1hrs/mth - 0hrs During Tading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-15
S63 Uniform Securities Agent State Law Examination 1997-06-24
  • S65 Uniform Investment Adviser Law Examination
    2001-12-15
  • S63 Uniform Securities Agent State Law Examination
    1997-06-24
Designations

View on SEC IAPD

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