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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2013-01-04 |
Branch Locations
100 Witmer Rd Ste 140, Horsham, PA 19044-2648 • United States
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Horsham | PA | 08/2012 | Present |
1. 10/15/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Started 01/01/2018 - 5 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-02 |
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