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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2018-03-27 |
| TX | RA | APPROVED_RES | 2013-01-10 |
| CA | RA | APPROVED | 2008-05-09 |
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, Llc | San Diego | CA | 05/2008 | Present |
1. 3/2/2009: Patenaude Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 1% - Sell outside fixed insurance. 2. 12/7/2020 - catamount holdings, llp - Investment Related - Home Based & Scottsdale, AZ - Real Estate Rental - Started 01/01/2004 - 0 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-13 |
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