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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| GA | RA | APPROVED | 2021-07-21 |
| IN | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
Branch Locations
Oro Valley, AZ • United States
5151 E Broadway Ste 1600, Tucson, AZ 85711 • United States
1846 E Innovation Park Dr, Oro Valley, AZ 85755 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Oro Valley | AZ | 02/2001 | Present |
| Various Insurance Carriers | Oro Valley | AZ | 03/2001 | Present |
| Amphi School District | Tucson | AZ | 12/2013 | 09/2017 |
| Ironwood Ridge High School | Oro Valley | AZ | 09/2017 | 12/2020 |
| Lpl Financial Llc | Oro Valley | AZ | 07/2021 | Present |
1- 07/2021 / DBA for LPL Business (entity for LPL business) / DeGrood Financial Services / Investment Related / Tucson, AZ 85737 2- 11/03/2023 - Pusch Ridge Christian K-12 - Non-Inv Related - Tuscon, AZ - Other - High School Basketball Coach - Start Date: 11/03/2023 - 45 Hrs/Mo; 0 Hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-21 |
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