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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

64 Old Riverhead Road Suite C, West Hampton Beach, NY 11978 • United States

445 Broadhollow Road Suite 405, Melville, NY 11747 • 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
Guardian Life Insurance Co Roslyn NY 03/2018 08/2020
Northwestern Mutual New York NY 11/2017 04/2018
Club Atletico Tabare Monteviedo 03/2017 11/2017
Unemployed Chester NY 07/2016 03/2017
Park Avenue Securities Llc Roslyn NY 06/2018 08/2020
Securitas Bronx NY 06/2018 04/2020
Mass Mutual Life Insurance Co Syosset NY 08/2020 01/2023
Mml Investors Services, Llc Syosset NY 09/2020 01/2023
Pruco Securities Llc Forest Hills NY 01/2023 11/2024
The Prudential Insurance Company Of America Forest Hills NY 01/2023 Present
Lpl Enterprise, Llc Riverhead NY 11/2024 Present
  • 03/2018 → 08/2020
    Guardian Life Insurance Co
    Roslyn, NY
  • 11/2017 → 04/2018
    Northwestern Mutual
    New York, NY
  • 03/2017 → 11/2017
    Club Atletico Tabare
    Monteviedo
  • 07/2016 → 03/2017
    Unemployed
    Chester, NY
  • 06/2018 → 08/2020
    Park Avenue Securities Llc
    Roslyn, NY
  • 06/2018 → 04/2020
    Securitas
    Bronx, NY
  • 08/2020 → 01/2023
    Mass Mutual Life Insurance Co
    Syosset, NY
  • 09/2020 → 01/2023
    Syosset, NY
  • 01/2023 → 11/2024
    Forest Hills, NY
  • 01/2023 → Present
    The Prudential Insurance Company Of America
    Forest Hills, NY
  • 11/2024 → Present
    Riverhead, NY
Previous Registrations
Other Businesses

1) 01/06/2025- Offseason LLC- Coach/ Sports/ Fitness- Training of skill develop for basketball athletes.- not inv. related - at Middletown, NY- start date 01/04/2021- 10hrs/mnth-0hrs during trading 2) 02/07/2025- RG Wealth Management Group- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s)- start date 11/18/2024- 160hrs/mnth-160hrs during trading 3. 06/18/2025 - City of New York - FDNY- Outside/W-2 Employment - First responder to fires, public safety and medical emergencies - New York, NY - NOT INV REL - Start Date 06/23/2025 - 115hrs/mth - 21hrs during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-15
S63 Uniform Securities Agent State Law Examination 2018-12-18
  • S65 Uniform Investment Adviser Law Examination
    2022-04-15
  • S63 Uniform Securities Agent State Law Examination
    2018-12-18
Other Names
  • Charles Michael Mccann

View on SEC IAPD

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