Best Investors
Account
Sign in
Best Investors
Account
Sign in
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_RES | 2021-04-07 |
| IL | RA | APPROVED | 2001-02-28 |
Branch Locations
6912 Main Street, Ste 112, Downers Grove, IL 60516 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Downers Grove | IL | 02/2001 | Present |
(1) 2/8/2010: Babich & Associates Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 10/3/2012: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Time Spent 1% - I have a notary that I use from time to time for Clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-26 |
Reach out to this advisor