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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 | 2020-09-17 |
| MI | RA | APPROVED | 2017-11-29 |
Branch Locations
233 S Stephenson Ave, Iron Mountain, MI 49801 • United States
901 Riverside Plaza, Iron River, MI 49935 • United States
3805 10Th Street, Menominee, MI 49858 • United States
3165 Wright St Suite # 104, Marquette, MI 49855 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America | Iron Mountain | MI | 05/2010 | 11/2017 |
| Lpl Financial Llc | Iron Mountain | MI | 11/2017 | Present |
1. 11/29/2017 - FIRST NATIONAL TRUST & INVESTMENT MANAGEMENT, INC. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - TRUST AND INVESTMENT ADMINISTRATOR - RESPONSIBLE FOR CLERICAL, MARKETING AND RELATIONSHIP MANAGEMENT. 2. 4/2/2018 - First National Bank & Trust - DBA: First National Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 160 Hours Per Month/7 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-15 |
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