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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 | 2014-12-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lebanon | NJ | 08/2011 | Present |
| Private Advisor Group, Llc | Lebanon | NJ | 09/2011 | 04/2018 |
(1) 12/18/2012 - DBA: ROUND VALLEY FINANCIAL, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-28 |
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