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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-03-20 |
| NE | RA | APPROVED | 2023-11-01 |
Branch Locations
320 S. Canal Street, Chicago, IL 60606 • United States
Omaha, NE • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services | Omaha | NE | 05/2006 | 10/2023 |
| Bank Of The West | Omaha | NE | 04/2006 | 10/2023 |
| Lpl Financial | Omaha | NE | 11/2023 | Present |
| Bmo | Omaha | NE | 11/2023 | Present |
1)11/01/2023 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 11/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-04 |
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