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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14

Branch Locations

Wilmette, IL • United States

10275 W Higgins Road Suite 200, Rosemont, IL 60018 • 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
Prudential Insurance Company Of America Rosemont IL 12/1978 Present
Pruco Securities, Llc. Rosemont IL 03/1979 11/2024
Lpl Enterprise, Llc Rosemont IL 11/2024 Present
Previous Registrations
Other Businesses

CHICAGO CHAPTER OF THE JAPANESE AMERICAN CITIZENS LEAGUE~5415 N CLARK ST, CHICAGO, IL 60640~CIVIL RIGHTS EDUCATION AND ADVOCACY~N~MEMBER, BOARD OF DIRECTORS, VP~01/01/2017~5 hrs/mo~2 trading hrs/mo Delta Dental of Illinois|Euclid Managers|Flexible Benefit Service Corp|North American Co for Life & Health (NACOLAH)|Prot Life Ins Co|Standard Life Ins Co Of Indiana|Vision Service Plans (VSP)|Health Care Service Corp|United HealthCare of Illinois|Aetna Health Inc|Mutual of Omaha|Principal Fin'l Group|Transamerica Life|Guardian Life Ins Co|Dearborn Nat'l Life Ins Co|VOYA Life Ins Co CARY WONG POSITION: Owner, insurance sales NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/05/1979 ADDRESS: 2244 Schiller Ave, Wilmette IL 60091, United States DESCRIPTION: Insurance product sales CHINESE AMERICAN SERVICE LEAGUE HOUSING CORP (DBA ALBERT & BERNIE WONG SENIOR LIVING COMMUNITY) POSITION: President, Board of Directors NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2006 ADDRESS: 2108 S Princeton Ave, Chicago IL 60616, United States DESCRIPTION: Provide leadership to Board of Directors CHINESE AMERICAN SERVICE LEAGUE HOUSING CORP (DBA ALBERT & BERNIE WONG SENIOR LIVING COMMUNITY) POSITION: President, Board of Directors NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2021 ADDRESS: 2108 S Princeton Ave, Chicago IL 60616, United States DESCRIPTION: Provide leadership to Board of Directors

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-14
S63 Uniform Securities Agent State Law Examination 1992-02-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-14
  • S63 Uniform Securities Agent State Law Examination
    1992-02-27
Designations

View on SEC IAPD

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