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Heather Laurie Michael

LPl Enterprise, LLC

Columbus, OH

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

One Easton Oval Suite 550, Columbus, OH 43219 • 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 Cincinnati OH 06/1991 Present
Pruco Securities, Llc. Cincinnati OH 07/1991 11/2024
Lpl Enterprise, Llc Columbus OH 11/2024 Present
Previous Registrations
  • 2001-10-30 → 2024-11-14
    Pruco Securities, Llc.
    Cincinnati, OH
    Cincinnati, OH
    West Chester, OH
    Columbus, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-22
S63 Uniform Securities Agent State Law Examination 1988-06-15
  • S65 Uniform Investment Adviser Law Examination
    2000-11-22
  • S63 Uniform Securities Agent State Law Examination
    1988-06-15
Other Names
  • Heather Laurie Moon

View on SEC IAPD

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PARK AVENUE SECURITIES LLC
W&S BROKERAGE SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

CARL DAVID WEISE
BEVERLY ANN RESSLER
DANIELLE BALL
HEATHER LYNN WITTEN
BRENT WAGNER
BRIAN ALOYSIUS CARRETTA
ANDREW C WAGES
Alan Robert Beymer

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBUS, OH
EDELMAN FINANCIAL ENGINES · COLUMBUS, OH
ACCOLADE ASSET/LIABILITY ADVISORY SERVICES · COLUMBUS, OH
SIGNATURE EQUITY PARTNERS, LLC · Columbus, OH
STRATEGIC ADVISERS LLC · COLUMBUS, OH
PARK AVENUE SECURITIES LLC · COLUMBUS, OH
W&S BROKERAGE SERVICES, INC. · Columbus, OH
AMERIPRISE FINANCIAL SERVICES, LLC · COLUMBUS, OH

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