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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-06-09 |
Branch Locations
80 W. Century Road, Paramus, NJ 07652 • United States
330 Kinderkamack Road, Emerson, NJ 07630 • United States
249 Kinderkamak Road, Oradell, NJ 07649 • United States
897 Prospect St, Glen Rock, NJ 07452 • United States
1070 Main Street, River Edge, NJ 07661 • United States
162 Main St, Paterson, NJ 07505 • United States
632 Westwood Ave, River Vale, NJ 07675 • United States
715 River Rd, New Milford, NJ 07646 • United States
River Vale, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Glen Oaks | NY | 04/2013 | 01/2021 |
| Hsbc Bank Usa, N.A. | Glen Oaks | NY | 08/2016 | 01/2021 |
| M&T Securities | Paramus | NJ | 01/2021 | Present |
| Lpl Financial Llc | Oradell | NJ | 06/2021 | Present |
| Lpl Financial Llc | Oradell | NJ | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-28 |
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