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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2015-07-23 |
| TX | RA | APPROVED | 2015-04-23 |
Branch Locations
Guntersville, AL • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Fort Mill | SC | 04/2015 | Present |
| Marshall County Sheriff's Office | Guntersville | AL | 08/2016 | Present |
1. 09/24/2015: No Business Name - Real Estate Rental - INV REL - 614 Sunset Dr. Albertville, AL 35950 - Started 09/17/2015 - owner of real property - 1% Time Spent 2. 08/02/2016: Marshall County Sheriff's Office - Reserve Deputy Sheriff - INV REL - 423 Blount Ave, Guntersville, AL 35976 - Start 08/01/2016 - Reserve Deputy Sheriff - 10 Hr/Mo; 0 Hours During Securities Trading. 3. 5/14/2018 - Marshall County, AL Probate Office - Not Investment Related - Varies by polling location-Probate Office address is 425 Gunter Ave. Guntersville, AL 35976 - Election Poll worker - Start Date 05/24/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Work as assigned during Primaries and Elections. 4. 10/28/2020 - Country Cottage - Not Investment Related - 290 West Laurel St, Scottsboro, AL 35768 - Other-Business Owner - Start Date: 12/30/2020 - 16 Hours Per Month/0 Hours During Securities Trading - Picture Framing Business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-29 |
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