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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 | 2014-08-08 |
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 |
|---|---|---|---|---|
| Lpl Financial | Houston | TX | 07/2010 | Present |
(1) 06/09/2014 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 2 HOURS PER MONTH - HOUSTON, TX
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-05 |
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