Rhett Alan King

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-11-14

NY RA
APPROVED

Since 2024-11-14

Branch Locations

Brockport, NY • 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

Organization	City	State	From	To
Pruco Securities, Llc.	Brockport	NY	01/1983	11/2024
Prudential Insurance Company Of America	Brockport	NY	01/1983	Present
Lpl Enterprise, Llc	Brockport	NY	11/2024	Present

01/1983 → 11/2024

Pruco Securities, Llc.

Brockport, NY
01/1983 → Present

Prudential Insurance Company Of America

Brockport, NY
11/2024 → Present

Lpl Enterprise, Llc

Brockport, NY

Previous Registrations

2021-06-07 → 2024-11-14

Pruco Securities, Llc.

Brockport, NY

Brockport, NY

Other Businesses

1) 12/11/2024 - Rhett King - Real Estate Rental - Rental properties owned by myself at both 24 Adams St (Purchased 11/1988) and 81 Utica St. (purchased 02/1996), both in Brockport NY 14420. - INV Related - At Brockport, NY - Start Date 11/15/1988 - 6hrs/mth - 1hrs During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2015-11-19

S63 Uniform Securities Agent State Law Examination

2015-11-19

View on SEC IAPD