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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • GA RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

Marietta, GA • United States

3343 Peachtree Road, N.E. Suite 700, Atlanta, GA 30326 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Atlanta GA 12/1994 11/2024
Prudential Insurance Company Of America Atlanta GA 07/1987 Present
Lpl Enterprise, Llc Marietta GA 11/2024 Present
Previous Registrations
  • 2003-04-17 → 2024-11-14
    Kennesaw, GA
    Atlanta, GA
    Sunset, SC
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Marietta, GA
    Marietta, GA
    Atlanta, GA
    Marietta, GA
    Marietta, GA
Other Businesses

Allianz Life Ins Co of North America|American General|John Hancock Life Ins Co|Lincoln Nat'l Life Ins Co|North American Ins Co|Principal Life Ins Co|Provident Life & Accident Ins Co|Unum Life Ins Co of America

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-27
S63 Uniform Securities Agent State Law Examination 1995-02-06
  • S65 Uniform Investment Adviser Law Examination
    1997-05-27
  • S63 Uniform Securities Agent State Law Examination
    1995-02-06

View on SEC IAPD

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