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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-11 |
| IL | RA | APPROVED | 2002-02-05 |
Branch Locations
1101 N Market St, Sparta, IL 62286 • United States
400 W. Broadway, Steeleville, IL 62288 • 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 |
|---|---|---|---|---|
| Linsco/Private Ledger Corp. | Sparta | IL | 05/1998 | Present |
1. 5/8/2018 - Howell Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 10 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-20 |
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