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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Westerly | RI | 07/1983 | Present |
| Pruco Securities, Llc. | Westerly | RI | 07/1983 | 11/2024 |
| Lpl Enterprise, Llc | Westerly | RI | 11/2024 | Present |
1) 09/16/2024 - Westerly Town Council - Make major decisions for the Town of Westerly - Politics/ Government - Non Inv Related - At Westerly, RI - Start Date 09/09/2024 - 20hrs/mth - 0hrs/mth During Trading 2) Westerly Republican Town Committee - Member of a political action committee - Politics/ Government - Non Inv Related - At Westerly, RI - Start Date 09/09/2024 - 1hrs/mth - 0hrs/mth During Trading 3) 09/16/2024 - Philip Overton - Act in a Fiduciary Capacity - Inv Related - At Westerly, RI - Start Date 09/09/2024 - 0hrs/mth - 0hrs/mth During Trading 4) 03/03/2025- Liberty Mutual- Property and Casualty- inv. related- at Westerly, RI- start date 11/18/2024- 1hr/mnth-0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-17 |
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