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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 | 2022-12-15 |
| WA | RA | APPROVED | 2022-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Kirkland | WA | 09/2005 | 12/2022 |
| Lpl Financial Llc | Bellevue | WA | 12/2022 | Present |
1) 12/2022- Peter Hamilton & Associates- DBA for LPL Business (entity for LPL business)- inv. related- Bellevue, WA 2) 12/2022-Real Estate Rental- owner- inv. related- 16240 NE 18th St. Belleview, WA 98008- start date 1/1/2020- 0hrs 3) 2/3/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 01/09/2023 - 1 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-30 |
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