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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-16 |
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 |
|---|---|---|---|---|
| Aap Associates | Brooklyn | NY | 01/1995 | 10/2017 |
| Genworth Financial Securities Corporation | Schaumburg | IL | 10/2005 | 10/2017 |
| Genworth Financial Advisers Corporation | Schaumburg | IL | 11/2005 | 10/2017 |
| Securities America, Inc. | Brooklyn | NY | 11/2017 | 10/2021 |
| Securities America Advisors | Brooklyn | NY | 11/2017 | 10/2021 |
| Lpl Financial Llc | Brooklyn | NY | 10/2021 | Present |
1. 12/08/2021 - Advisors Choice Insurance Brokerage Services - Investment Related - Non-Variable Insurance - Insurance Broker - Start Date: 12/13/2021 - 10 Hours Per Month/10 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-06 |
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