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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Hamden | CT | 05/2010 | Present |
| Various Insurance Carriers For W&R Insurance Agencies | Shelton | CT | 05/2010 | Present |
| The Friends Of Jimmy Miller Inc | New Haven | CT | 07/2011 | 10/2020 |
| City Of Shelton | Shelton | CT | 02/2016 | Present |
| The Amity Club Of New Haven | New Haven | CT | 06/2016 | Present |
| Daniel Guerra | Hamden | CT | 01/2018 | 06/2021 |
| Daniel Guerra Llc | Madison | CT | 01/2018 | Present |
| Lpl Financial Llc | Shelton | CT | 07/2021 | Present |
5/10-Present, Various Insurance Carriers For W&R Insurance Agencies, Shelton CT, Investment Related, Insurance Sales, Insurance Agent. 02/2016-Present, City of Shelton, Shelton, CT, Non-Investment Related, Municipal Corporation, Reconciler, 60 Hrs/Mo, 2 Hrs During Security Trading Hours. 06/2016-PRESENT, THE AMITY CLUB OF NEW HAVEN, NEW HAVEN, CT, INV-RELATED: N, 501 (C)(3)CORP, BOARD OF DIRECTOR, 4 HOURS PER MONTH, 0 SECURITY TRADING HOURS. 01/2018-PRESENT,DANIEL GUERRA LLC,MADISON CT,NON INVESTMENT RELATED, LLC,ADVISOR ASSOCIATE,160 HRS/MO, 130 HRS/MO DURTING TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-07-05 |
| S65 | Uniform Investment Adviser Law Examination | 2000-10-24 |
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