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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WV | RA | APPROVED | 2024-11-14 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Beckley | WV | 08/1976 | Present |
| Pruco Securities, Llc. | Beckley | WV | 08/1976 | 11/2024 |
| Lpl Enterprise, Llc | Beckley | WV | 11/2024 | Present |
1) 08/23/2024 - Crab Orchard Baptist Church - Deacon board chair (expires 12/31/2024) support needs of church members and pastors - Non-Profit Board Member - Non Inv Related - At Beckley, WV - Start Date 01/01/2024 - 6hrs/mth - 3hrs/mth During Trading 2) 08/23/2024 - Clark Swepston Insurance & Financial Services, LLC - Administrative LLC - DBA for business expenses and tax purposes - Business Entity for Tax/Investment Purposes Only - Non Inv Related - At Beckley, WV - Start Date 07/16/2016 - 2hrs/mth - 2hrs/mth During Trading 3) 08/23/2024 - Clark H Swepston - Immediate family - Act in a Fiduciary Capacity - Inv Related - At Beckley, WV - Start Date 07/16/2016 - 0hrs/mth - 0hrs/mth During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-10 |
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