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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 |
|---|---|---|---|
| MA | RA | APPROVED | 2021-11-03 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Boston | MA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Boston | MA | 11/2016 | 10/2021 |
| Avidia Bank | Framingham | MA | 10/2021 | Present |
| Lpl Financial Llc | Framingham | MA | 10/2021 | Present |
1) 04/18/2024 - Korff Investment Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 8/7/2023 - 360 Hrs/Mo; 130 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-13 |
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