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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2021-05-28 |
| TX | RA | APPROVED_RES | 2021-05-13 |
Branch Locations
102 Parkside Commons Ste 102, Greensboro, GA 30642 • United States
3560 Lenox Rd Ne Suite 2727, Atlanta, GA 30326 • United States
1020 Parkside Commons Ste 102, Greensboro, GA 30642 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 05/2012 | 05/2021 |
| Lpl Financial, Llc | Atlanta | GA | 05/2021 | Present |
1) 5/2021 - DBA for LPL Business (entity for LPL business) - Platinum Wealth Management of Buckhead - Investment Related - 100% - Atlanta, GA 30326 2) 5/2021 - DBA for LPL Business (entity for LPL business) - Gladstone Wealth Partners - Investment Related - Atlanta, GA 30326
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-15 |
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