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Mark Eckell

LPl Financial LLC

Independence, KY

Fort Mill, SC

CRD 4521299

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2018-08-29
  • KY RA
    APPROVED
    Since 2018-08-29

Branch Locations

Independence, KY • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Shawn F. Kelley Cincinnati OH 03/2010 07/2018
Northwestern Mututal Investment Services, Llc Cincinnati OH 04/2010 07/2018
Lpl Financial Llc Independence KY 08/2018 Present
  • 03/2010 → 07/2018
    Shawn F. Kelley
    Cincinnati, OH
  • 04/2010 → 07/2018
    Northwestern Mututal Investment Services, Llc
    Cincinnati, OH
  • 08/2018 → Present
    Lpl Financial Llc
    Independence, KY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-03
S63 Uniform Securities Agent State Law Examination 2002-06-05
  • S66 Uniform Combined State Law Examination
    2010-05-03
  • S63 Uniform Securities Agent State Law Examination
    2002-06-05
Designations
  • Certified Financial Planner
Other Names
  • Mark T Eckell

View on SEC IAPD

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