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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-11-18
  • FL RA
    APPROVED
    Since 2024-11-18

Branch Locations

701 San Marco Blvd Suite 7100, Jacksonville, FL 32207 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Jacksonville FL 01/2014 Present
Prudential Insurance Company Of America Jacksonville FL 01/2014 Present
Lpl Enterprise, Llc Jacksonville FL 11/2024 Present
Previous Registrations
Other Businesses

AMER FAMILY LIFE ASSUR CO|GENWORTH LIFE INS CO.|LINCOLN NAT'L LIFE INS|METLIFE INS CO OF CONNECTICUT|NORTH AMERICAN INS CO|UNITED HOME LIFE INS CO

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-10-20
S65 Uniform Investment Adviser Law Examination 2016-05-06
  • S63 Uniform Securities Agent State Law Examination
    2017-10-20
  • S65 Uniform Investment Adviser Law Examination
    2016-05-06

View on SEC IAPD

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