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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 | 2017-11-29 |
Branch Locations
17806 Ih 10 W Ste 300, San Antonio, TX 78257 • United States
Fair Oaks Ranch, TX • 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 |
|---|---|---|---|---|
| National Planning Corporation | Boerne | TX | 01/2012 | Present |
| Lpl Financial Llc | San Antonio | TX | 11/2017 | Present |
1. 11/29/2017 - Woodrow Knight - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Owner/Insurance agent - Start Date 2010 - 4 Hours Per Month/0 Hours During Securities Trading - Fixed life. 2. 12/12/2017 - Selvey Knight Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/30/2017 - 40 Hours Per Month/40 During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-18 |
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