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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-02-14 |
| WI | RA | APPROVED | 2018-12-03 |
| MI | RA | APPROVED | 2011-04-29 |
Branch Locations
70 W Long Lake Road, Suite 114, Troy, MI 48098 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Rochester | MI | 04/2011 | Present |
1. 02/06/2018 - V & E Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/24/2018 - 160 Hours Per Month/8 During Securities Trading. 2. 10/29/2021 - Grand Slam Getaways, LLC - Investment Related - Davenport, FL 33837 - Real Estate Rental - Start Date: 10/19/2021 - 8 Hours Per Month/1 Hour During Securities Trading - Short term rental property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-06 |
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