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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_RES | 2022-05-26 |
| CO | RA | APPROVED | 2010-02-24 |
| NV | RA | APPROVED | 2010-02-24 |
| UT | RA | APPROVED | 2010-02-24 |
Branch Locations
1181 Steamboat Parkway, Reno, NV 89521 • United States
700 Los Altos Parkway, Sparks, NV 89436 • United States
2627 W 4700 S, Taylorsville, UT 84129 • United States
3065 W. 5400 S., Taylorsville, UT 84129 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | West Valley | UT | 12/2009 | Present |
| Mountain America Cu | West Valley | UT | 12/2009 | Present |
1. 12/30/2019 - Mountain America Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/30/2019 - 40 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-05-21 |
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