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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-11-14 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bankers Life & Casualty | Greenwood Village | CO | 08/2008 | 08/2023 |
| Bankers Life Securities Inc | Greenwood Village | CO | 07/2017 | 08/2023 |
| The Prudential Insurance Company Of America | Portland | ME | 08/2023 | Present |
| Pruco Securities Llc | Portland | ME | 08/2023 | 11/2024 |
| Lpl Enterprise, Llc | Portland | ME | 11/2024 | Present |
1) 06/24/2026-Pleasant Mountain Wealth & Legacy-Financial Planner / Owner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 07/01/2026-120hrs/mth-50hrs/mth during trading 2) 07/23/2026-EQUITRUST-AGENT-Non-Variable Insurance-Inv related-At reported business location(s)-Start date 06/01/2026-2hrs/mth-2hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-05 |
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