Luis Ponce

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-12-10
TX	RA	APPROVED	2025-12-08

NJ RA
APPROVED

Since 2025-12-10
TX RA
APPROVED

Since 2025-12-08

Branch Locations

93 Spring St Ste 303, Newton, NJ 07860 • 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

Organization	City	State	From	To
Pruco Securities, Llc	East Hanover	NJ	05/2016	07/2017
The Prudential Insurance Company Of America	East Hanover	NJ	06/2016	07/2017
Edward Jones	St Louis	MO	07/2017	12/2025
Lpl Financial Llc	Newton	NJ	12/2025	Present

05/2016 → 07/2017

Pruco Securities, Llc

East Hanover, NJ
06/2016 → 07/2017

The Prudential Insurance Company Of America

East Hanover, NJ
07/2017 → 12/2025

Edward Jones

St Louis, MO
12/2025 → Present

Lpl Financial Llc

Newton, NJ

Previous Registrations

2017-08-21 → 2025-12-09

Edward Jones

Newton, NJ

Newton, NJ

St Louis, MO

Mt. Arlington, NJ

Other Businesses

1. 11/2025 - LP Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 12/8/2025 2. 12/08/2025-LP Wealth Management LLC-Financial Advisor-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 12/08/2025-160hrs/mth-160hrs/mth during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-08-19
S63	Uniform Securities Agent State Law Examination	2000-11-10

S66 Uniform Combined State Law Examination

2017-08-19
S63 Uniform Securities Agent State Law Examination

2000-11-10

Other Names

Luis Ponce Iii

View on SEC IAPD