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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

10275 W Higgins Road Suite 200, Rosemont, IL 60018 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Lake Barrington IL 06/2002 Present
Pruco Securities,Llc Lake Barrington IL 06/2002 11/2024
Lpl Enterprise, Llc Rosemont IL 11/2024 Present
  • 06/2002 → Present
    The Prudential Insurance Company Of America
    Lake Barrington, IL
  • 06/2002 → 11/2024
    Pruco Securities,Llc
    Lake Barrington, IL
  • 11/2024 → Present
    Rosemont, IL
Previous Registrations
  • 2004-08-23 → 2024-11-14
    Rosemont, IL
    Lake Barrington, IL
    Rosemont, IL
    Downers Grove, IL
    Lake Barrington, IL
    Rosemont, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-02
S63 Uniform Securities Agent State Law Examination 2000-03-08
  • S65 Uniform Investment Adviser Law Examination
    2004-08-02
  • S63 Uniform Securities Agent State Law Examination
    2000-03-08
Other Names
  • Jian Wang

View on SEC IAPD

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