Claudia Ava Baggot

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
TX	RA	APPROVED_RES	2024-10-21
SC	RA	APPROVED	2024-10-01
NY	RA	APPROVED	2024-09-26

TX RA
APPROVED_RES

Since 2024-10-21
SC RA
APPROVED

Since 2024-10-01
NY RA
APPROVED

Since 2024-09-26

Branch Locations

Staten Island, NY • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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 Yes
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.	Staten Island	NY	01/2013	09/2024
Prudential Insurance Company Of America	Staten Island	NY	01/2013	09/2024
Lpl Enterprises	Fort Mill	SC	09/2024	Present

01/2013 → 09/2024

Pruco Securities, Llc.

Staten Island, NY
01/2013 → 09/2024

Prudential Insurance Company Of America

Staten Island, NY
09/2024 → Present

Lpl Enterprises

Fort Mill, SC

Other Businesses

1) 9/23/24 - CVS - Retail Pharmacy - 70 hrs/mth - not investment related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-07-06
S63	Uniform Securities Agent State Law Examination	2013-03-02

S66 Uniform Combined State Law Examination

2024-07-06
S63 Uniform Securities Agent State Law Examination

2013-03-02

Other Names

Claudia Ava Pearsall

View on SEC IAPD