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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-14 |
| PA | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-25 |
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