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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 | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Various Insurance Carriers For W & R Insurance Agencies | Mckinney | TX | 06/2016 | 07/2021 |
| Waddell & Reed, Inc | Mckinney | TX | 05/2016 | 07/2021 |
| Lpl Financial Llc | Mckinney | TX | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-11 |
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