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CRD 1932663
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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2021-01-21 |
Branch Locations
V, Colonie, NY 12205 • United States
2114 Western Ave, Guilderland, NY 12084 • United States
655 Patroon Creek Blvd, Albany, NY 12206 • United States
763 Route 146, Altamont, NY 12209 • United States
Slingerlands, NY • United States
4 Winners Circle, Albany, NY 12205 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities, Inc. | Clifton Park | NY | 12/2007 | 04/2019 |
| Broadview Federal Cu | Albany | NY | 04/2019 | Present |
| Lpl Financial Llc | Albany | NY | 04/2019 | Present |
1) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-11 |
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