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CRD 1799361
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 |
|---|---|---|---|
| MO | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
Branch Locations
3461 Technology Dr, Lake Saint Louis, MO 63367 • United States
206 N 5Th St, Saint Charles, MO 63301 • United States
1501 S Old Highway 94, Saint Charles, MO 63303-3736 • United States
300 Woodlawn, O'FAllon, MO 63366 • 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 |
|---|---|---|---|---|
| Invest Financial Corporation | St. Charles | MO | 01/1988 | Present |
| First State Bank Of St. Charles | St. Charles | MO | 03/1990 | Present |
| Lpl Financial Llc | St. Charles | MO | 02/2018 | Present |
1. 02/14/2018 - First State Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-03 |
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