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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-11-14 |
| NY | RA | APPROVED | 2024-11-14 |
Branch Locations
252 Harbor Beach Road, Mount Sinai, NY 11766 • United States
445 Broadhollow Road Suite 405, Melville, NY 11747 • 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 | Whitestone | NY | 05/1987 | 04/2020 |
| Prudential Insurance Company Of America | Whitestone | NY | 05/1987 | 04/2020 |
| Pruco Securities, Llc. | Melville | NY | 06/2020 | 11/2024 |
| Prudential Insurance Company Of America | Melville | NY | 06/2020 | Present |
| Lpl Enterprise, Llc | Mount Sinai | NY | 11/2024 | Present |
1) 11/14/2024- Cool Breeze Charters LLC- Other- Providing Private Yacht Charters, On water boat training, boat transport, Boating safety education- INV Related- At Mount Sinai, NY- Start date 04/12/2020- 15 HRS MTH- 5 HRS During trading 2)11/14/2024- Safer Boater- Coach/ Sports/ Fitness- On water boat training for students and captains- Not INV Related- Start date 03/22/2024- 5HRS MTH- 2 HRS during trading 3) 06/18/2025-The Katz Group-Financial Advisor -DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 06/18/2025-0hrs/mth-0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-07 |
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