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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2009-09-08 |
| TX | RA | APPROVED_RES | 2009-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Neodesha | KS | 09/2009 | Present |
1. 11/28/2016 - Oakhill Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2000 - 10 Hours Per Month During Securities Trading. 2. 11/16/2021 - Sunrise Wealth Management - DBA: Sunnyside Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/22/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 12/31/2021 - Color Street - Not Investment Related - Internet based. No physical location. - Outside/W-2 Employment - Stylist - Started 01/01/2022 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-26 |
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