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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 | 2018-07-11 |
| GA | RA | APPROVED | 2017-05-24 |
Branch Locations
200 Ashford Ctr N Ste 400, Atlanta, GA 30338 • United States
Buford, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific Life Insurance Company | Newport Beach | CA | 04/2012 | 05/2017 |
| Pacific Select Distributors Inc | Newport Beach | CA | 05/2012 | 05/2017 |
| Lpl Financial, Llc | Atlanta | GA | 05/2017 | Present |
1. 6/22/2017 - Integrated Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/02/2017 - 20 Hours Per Month During Securities Trading. 2. 10/9/2017 - Searcy, Weems-Scott & Quinn - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/15/2017 - 160 Hours Per Month/150 Hours During Securities Trading. 3. 2/19/2020 - BCH Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 02/18/2020 - 4 Hours Per Month During Securities Trading. 4. 12/02/2022 - No Business Name - Investment Related - Home Based - Real Estate Rental - Start Date - 10/03/2022 - 1 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-07 |
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