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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2018-10-05 |
Branch Locations
2500 N Military Trl Ste 150, Boca Raton, FL 33431 • United States
2300 Glades Rd, Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bb&T Bank | Tampa | FL | 08/2012 | 03/2017 |
| Bbtis | Charlotte | NC | 08/2012 | 03/2017 |
| Pnc Investments | Fort Lauderdale | FL | 04/2017 | 09/2018 |
| Lpl Financial Llc | Boca Raton | FL | 10/2018 | Present |
| Seacoast Bank | Boca Raton | FL | 10/2018 | Present |
1)10/04/2018 - DBA for LPL Business (entity for LPL business) - SEACOAST INVESTMENT SERVICES - 100% - INVESTMENT RELATED - BOCA RATON, FL 33431
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-27 |
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