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Douglas Jerome Schwegman

LPl Enterprise, LLC

Bartlesville, OK

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-11-14
OK RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • AR RA
    APPROVED
    Since 2024-11-14
  • OK RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

300 South Shawnee Ave, Bartlesville, OK 74006 • 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
Pruco Securities, Llc. Bartlesville OK 11/1981 11/2024
Prudential Insurance Company Of America Bartlesville OK 11/1981 Present
Lpl Enterprise, Llc Bartlesville OK 11/2024 Present
Previous Registrations
Other Businesses

1.8/22/2024; SCHWEGMAN INS AND FINANCIAL SERVICES LLC; non variable ins; yes inv related; 100 hr/mo non trading; 80 hr/ mo tgrading; 11/02/1981 2. 08/16/2024; THE HUBERT J SCHWEGMAN AND ILA JEAN SCHWEGMAN FAMILY TRUST; trust; yes inv related; 2 hr/mo nontrading; 1 hr/mo trading; +04/19/2023 Schwegman Ins & Fin'l Servs, LLC~300 S Shawnee, Bartlesville, OK 74006~DBA~N~Owner~12/2001~160 hrs/mo~136 trading hrs/mo|Berkshire Life Ins Co Of Amer|Blue Cross/Blue Shield;Colonial Life & Accident Ins Co; Community care Hmo Inc|Communitycare Life & Health Ins Co;Dearborn Nat'l;Golden Rule Ins Co|Guardian;Hcsc Ins Services Co;Integrity Life;Jackson Nat'l Life Ins Co;MetLife Ins Co of Connecticut;Mutual of Omaha;Principal;RBC Ins;Sun Life Fin'l;UnumProvident HUBERT J SCHWEGMAN AND ILA JEAN SCHWEGMAN TRUST POSITION: Trustee NATURE: Revocable Trust INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/12/2023 ADDRESS: 300 S Shawnee Ave, Bartlesville OK 74003, United States DESCRIPTION: Basic Trustee duties

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-25
S63 Uniform Securities Agent State Law Examination 1983-06-01
  • S65 Uniform Investment Adviser Law Examination
    1997-08-25
  • S63 Uniform Securities Agent State Law Examination
    1983-06-01
Other Names
  • Doug Schwegman

View on SEC IAPD

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