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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-21
  • CA RA
    APPROVED
    Since 2025-01-21

Branch Locations

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • 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. Sherman Oaks CA 07/2024 11/2024
Express Connection Los Angeles CA 01/2014 06/2024
Mass Mutual Beverly Hills CA 10/2023 01/2024
Lpl Enterprise, Llc Sherman Oaks CA 11/2024 Present
  • 07/2024 → 11/2024
    Pruco Securities, Llc.
    Sherman Oaks, CA
  • 01/2014 → 06/2024
    Express Connection
    Los Angeles, CA
  • 10/2023 → 01/2024
    Mass Mutual
    Beverly Hills, CA
  • 11/2024 → Present
    Sherman Oaks, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-17
  • S66 Uniform Combined State Law Examination
    2025-01-17

View on SEC IAPD

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