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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

1404 Oak Tree Road Suite 202, Iselin, NJ 08830 • United States

11 Sunflower Avenue Suite 2000, Paramus, NJ 07652 • 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. Iselin NJ 12/1983 11/2024
Prudential Insurance Company Of America Iselin NJ 12/1983 Present
Lpl Enterprise, Llc Iselin NJ 11/2024 Present
Previous Registrations
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Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-05-19
S65 Uniform Investment Adviser Law Examination 1999-12-16
  • S63 Uniform Securities Agent State Law Examination
    2000-05-19
  • S65 Uniform Investment Adviser Law Examination
    1999-12-16

View on SEC IAPD

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