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Yoshikazu Yasuoka

LPl Enterprise, LLC

Oradell, NJ

CRD 1319850

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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

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-14
NY RA APPROVED 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-11-14
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

550 Kinderkamack Road Suite 151, Oradell, NJ 07649 • 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
Pruco Securities, Llc. Paramus NJ 10/2012 11/2024
Prudential Insurance Company Of America Paramus NJ 03/2020 Present
Lpl Enterprise, Llc Paramus NJ 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-12
S63 Uniform Securities Agent State Law Examination 1991-09-16
  • S65 Uniform Investment Adviser Law Examination
    2013-12-12
  • S63 Uniform Securities Agent State Law Examination
    1991-09-16
Other Names
  • Yoshlkazu Yasuoka
  • Yoshi Yasuoka

View on SEC IAPD

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