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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 | 2023-01-03 |
| WI | RA | APPROVED | 2023-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Frank Advisory Services, Inc. | Saint Charles | IL | 11/1994 | 09/2017 |
| Raymond James Financial Services, Inc | St. Charles | IL | 07/2014 | 09/2017 |
| Raymond James Financial Services Advisors Inc. | Saint Charles | IL | 07/2014 | 09/2017 |
| Sage Private Wealth Group | Saint Charles | IL | 07/2014 | 09/2017 |
| Michael Frank | Saint Charles | IL | 07/2014 | 05/2017 |
| Cetera Financial Specialists, Llc | Schaumburg | IL | 09/2017 | 01/2023 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2017 | 01/2023 |
| Frank Advisory Services | Delavan | WI | 11/1994 | Present |
| Lpl Financial Llc | Delavan | WI | 01/2023 | Present |
1)01/03/2023 - Michael Frank - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 01/1993 - 5 Hr/Mth 2)11/30/2022 - Frank Advisory Services Inc. - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 01/1993 - 5 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-09-07 |
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