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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-14
PA RA APPROVED 2024-11-14
  • NC RA
    APPROVED
    Since 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14

Branch Locations

1316 A Commerce Drive, New Bern, NC 28560 • United States

5605 Carnegie Blvd Ste 240, Charlotte, NC 28209 • 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
Allstate Insurance Co New Bern NC 11/2005 04/2020
Prudential Insurance Company Of America Greensboro NC 04/2020 Present
Pruco Securities, Llc. Greensboro NC 04/2020 11/2024
Lpl Enterprise, Llc New Bern NC 11/2024 Present
  • 11/2005 → 04/2020
    Allstate Insurance Co
    New Bern, NC
  • 04/2020 → Present
    Prudential Insurance Company Of America
    Greensboro, NC
  • 04/2020 → 11/2024
    Greensboro, NC
  • 11/2024 → Present
    New Bern, NC
Previous Registrations
  • 2020-04-22 → 2024-11-14
    Charlotte, NC
    High Point, NC
    New Bern, NC
  • 2004-05-19 → 2005-11-15
    Msi Financial Services, Inc.
    New Bern, NC
Other Businesses

1) 10/08/2024 - Sound Financial Solutions, Inc. - DBA for financial planning, education and advisory services - DBA for LPL Business (entity for LPL business) - Inv Related - At NEW BERN, NC - Start Date 06/01/2022 - 30hrs/mth - 20hrs/mth During Trading 2) 10/08/2024 - Venerable - Agent of record only no new business - Non-Variable Insurance Commission Trails - Inv Related - At NEW BERN, NC - Start Date 04/20/2020 - 0hrs/mth - 0hrs/mth During Trading 3) 10/08/2024 - Carteret Partnership for Children - Accounting and Bookkeeping Services - Tax Prep/Accounting/CPA - Inv Related - At NEW BERN, NC - Start Date 10/19/2022 - 30hrs/mth - 0hrs/mth During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-30
S63 Uniform Securities Agent State Law Examination 2001-08-25
  • S65 Uniform Investment Adviser Law Examination
    2004-04-30
  • S63 Uniform Securities Agent State Law Examination
    2001-08-25
Designations
Other Names
  • Deborah Louise Schnupp
  • Deborah L Malinich
  • Deborah Louise Malinich
  • Deborah Louise Cook
  • Deborah L Schnapp
  • Deborah L Cook

View on SEC IAPD

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