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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

8191 Southpark Lane Suite 101, Littleton, CO 80120 • 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. Littleton CO 01/2018 11/2024
Elk Creek Ranch Meeker CO 07/2008 Present
Titus Construction Pasadena CA 11/2013 11/2016
Prudential Insurance Company Of America Littleton CO 04/2018 Present
Lpl Enterprise, Llc Littleton CO 11/2024 Present
  • 01/2018 → 11/2024
    Littleton, CO
  • 07/2008 → Present
    Elk Creek Ranch
    Meeker, CO
  • 11/2013 → 11/2016
    Titus Construction
    Pasadena, CA
  • 04/2018 → Present
    Prudential Insurance Company Of America
    Littleton, CO
  • 11/2024 → Present
    Littleton, CO
Previous Registrations
Other Businesses

1) 2026-04-22 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Waypoint Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Y - 200 - 200 - at reported business location(s) - 2026-04-15 - Financial and Insurance Services 2) 2025-07-08 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - - - at reported business location(s) - 2025-07-08 - ?Fixed life insurance through Prudential Individual Life Insurance (ILI). ?Fixed life, disability, and LTC through the Prudential sponsored Crump and Ash agreements. ?Healthcare business through the Prudential sponsored agreements with Benefit Mall and Emerson Rogers. 3) 2024-09-06 - Elk Creek Ranch - Other - N - 5 - 5 - at reported business location(s) - 2024-09-05 - I guide people fly fishing and hunting a couple of days a month, mostly on weekends. This happens between March and October. 4) 2024-09-12 - Clifton Trust - Act in a Fiduciary Capacity - N - 1 - 1 - Aurora CO - 2024-09-05 -

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-02-21
S63 Uniform Securities Agent State Law Examination 2020-10-22
  • S65 Uniform Investment Adviser Law Examination
    2022-02-21
  • S63 Uniform Securities Agent State Law Examination
    2020-10-22

View on SEC IAPD

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