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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
50 Francisco Street Suite 245, San Francisco, CA 94133 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | San Francisco | CA | 05/1986 | 11/2024 |
| Prudential Insurance Company Of America | San Francisco | CA | 08/1986 | Present |
| Lpl Enterprise, Llc | San Francisco | CA | 11/2024 | Present |
1) 10/02/2024 - FLOODWATER TAVERN, LLC - Investment in a Sports Bar. No responsibilities and no current income - Business Owner - Non Inv Related - At San Francisco, CA - Start Date 07/05/2019 - 0hrs/mth - 0hrs/mth During Trading 2) 10/01/2024 - BRIDGEWATER PARTNERS, INSURANCE AND FINANCIAL SERVICES - Financial planning, investment and insurance counseling - DBA for LPL Business (entity for LPL business) - Inv Related - At San Francisco, CA - Start Date 02/20/2015 - 160hrs/mth - 160hrs/mth During Trading 3) 03/17/2025-Barbara Burke Heaton, Sole Proprietor-Owner-Barbara Burke Heaton, Sole Proprietor-Inv Related-At San Francisco, CA -Start date 11/17/2024-5hrs/mth-2hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-05-24 |
| S65 | Uniform Investment Adviser Law Examination | 2000-07-24 |
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