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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2018-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Garden City | NY | 12/2011 | 04/2018 |
| Lpl Financial | New York | NY | 04/2018 | Present |
1) 04/25/2018 - Non-Variable Insurance - 10% - 387 Park Ave South 5th Floor Suite 551 New York, NY 10016 2) 04/25/2018 - Notary - Notary - 1% - 387 Park Ave South 5th Floor Suite 551 New York, NY 10016 3) 04/25/2018 - Act in a Fiduciary Capacity - Sarah R Ibrahim Irrevocable Trust - 1% - 387 Park Ave South 5th Floor Suite 551 New York, NY 10016
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-09 |
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