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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| GA | RA | APPROVED | 2021-07-21 |
| ID | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| IA | RA | APPROVED | 2021-07-21 |
| KS | RA | APPROVED | 2021-07-21 |
| MD | RA | APPROVED | 2021-07-21 |
| MS | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| MT | RA | APPROVED | 2021-07-21 |
| NE | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| SD | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WY | RA | APPROVED | 2021-07-21 |
Branch Locations
1155 Kelly Johnson Blvd Ste 200, Colorado Springs, CO 80920 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc. | Colorado Springs | CO | 03/2001 | Present |
| Various Insurance Carriers For W&R Insurance Agencies | Colorado Springs | CO | 06/2001 | Present |
| Frank L. Dearden | Colorado Springs | CO | 03/2002 | Present |
| Lake Shore Condominuims Board Of Directors | Keystone | CO | 09/2008 | Present |
| Fld, Ltd | Colorado Springs | CO | 08/2016 | Present |
| The Frs Group Llc | Colorado Springs | CO | 08/2016 | Present |
| Lpl Financial Llc | Colorado Springs | CO | 07/2021 | Present |
1) 07/23/21 - FLD, Ltd - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2016 2) 07/23/21 - The FRS Group - Business Entity For Tax/Investment Purposes Only - Inv Rel - Colorado Springs, CO - Start: 08/2016 3) 07/23/21 - FRS Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - Colorado Springs, CO - Start: 01/21 4) 10/26/23 - Rental Property - Real Estate Rental - Co-Owner - Investment Related - Colorado Springs, CO - Start Date 07/01/23 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-16 |
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