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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-07-29 |
| VT | RA | APPROVED | 2026-03-26 |
| NH | RA | APPROVED | 2025-12-22 |
| NJ | RA | APPROVED | 2024-11-14 |
Branch Locations
191 Washington Street, Keene, NH 03431 • United States
30 Technology Drive South Suite 1-Q, Warren, NJ 07059 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Warren | NJ | 06/1986 | 11/2024 |
| Prudential Insurance Company Of America | Warren | NJ | 06/1986 | Present |
| Lpl Enterprise, Llc | Warren | NJ | 11/2024 | Present |
1) 09/13/2024 - New Providence Financial, LLC - Sale and service of Insurance and Financial Services - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 09/09/2005 - 40hrs/mth - 40hrs/mth During Trading 2) 09/09/2024 - Chartered Financial Services - Sale and servicing of insurance and financial services - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 03/01/2016 - 40hrs/mth - 40hrs/mth During Trading 3) 09/09/2024 - Chartered Financial Services, LLC - Sale and Service of Insurance and Financial Services - DBA for LPL Business (entity for LPL business) - Inv Related - At WARREN, NJ - Start Date 12/22/2015 - 40hrs/mth - 40hrs/mth During Trading 4) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location( s) 5) 07/28/2025 - Liberty Mutual- Property and Casualty- Auto & home insurance sales and service- Inv. related- at Warren, NJ- start date 06/09/1986- 1hr/mnth- 1hr during trading 6) 07/28/2025 - Plymouth Rock- Property and Casualty- Auto & home insurance sales and service- inv. related- at Warren, NJ- start date 06/09/1986- 1hr/mnth- 1hr during trading 7) 10/06/2025-CFS Keene, LLC-Managing Member-Business Entity For Tax/Investment Purposes Only-Inv Related-At Gillette, NJ-Start date 09/30/2025-5hrs/mth-0hrs/mth during trading 8) 12/30/2025-CFS Keene, LLC-Managing Member-Real Estate Rental-Inv Related-At Keene, NH-Start date 11/17/2025-5hrs/mth-5hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-24 |
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