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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-18 |
| AR | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
| WI | RA | APPROVED | 2024-11-14 |
Branch Locations
W232 N6160 Waukesha Avenue, Sussex, WI 53089 • United States
10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226 • United States
Cape Coral, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Cape Coral | FL | 10/1986 | Present |
| Pruco Securities, Llc. | Cape Coral | FL | 10/1986 | 11/2024 |
| Lpl Enterprise, Llc | Cape Coral | FL | 11/2024 | Present |
1) 09/04/2024 - The Rivers IV Cond - Act in a Fiduciary Capacity - Non Inv Related - At Cape Coral, FL - Start Date 05/24/2024 - 4hrs/mth - 0hrs/mth During Trading 2) 12/02/2025-Prudential Sponsored Non-Variable Insurance-Agent-Non-Variable Insurance/Insurance Agency-Inv related-At Cape Coral, FL-80hrs/mth-80hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-27 |
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