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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
36 Buff Cap Road Suite 3, Tolland, CT 06084 • United States
5 Vina Lane, Brooklyn, CT 06234 • 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 |
|---|---|---|---|---|
| Pruco Securities, Llc. | Woodstock | CT | 05/1999 | 11/2024 |
| Prudential Insurance Company Of America | Woodstock | CT | 05/1999 | Present |
| Lpl Enterprise, Llc | Brooklyn | CT | 11/2024 | Present |
1. 11/14/2024 - Sloan, Giguere, Gisleson & Associates - DBA for LPL Business (entity for LPL business) - Brooklyn, CT - INV REL - Start Date 07/22/2015 - 80hrs/mth 2. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-18 |
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