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Braxton Lee Barton

LPl Enterprise, LLC

Noblesville, IN

Indianapolis, IN

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-11-14
  • IN RA
    APPROVED
    Since 2024-11-14

Branch Locations

Noblesville, IN • United States

8888 Keystone Crossing Suite 500, Indianapolis, IN 46240 • 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. Indianapolis IN 10/2016 11/2024
Prudential Insurance Company Of America Indianapolis IN 10/2016 Present
The Assurance Group Archdale NC 09/2015 10/2016
Lpl Enterprise, Llc Indianapolis IN 11/2024 Present
  • 10/2016 → 11/2024
    Pruco Securities, Llc.
    Indianapolis, IN
  • 10/2016 → Present
    Prudential Insurance Company Of America
    Indianapolis, IN
  • 09/2015 → 10/2016
    The Assurance Group
    Archdale, NC
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-27
S63 Uniform Securities Agent State Law Examination 2016-10-03
  • S65 Uniform Investment Adviser Law Examination
    2016-12-27
  • S63 Uniform Securities Agent State Law Examination
    2016-10-03

View on SEC IAPD

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