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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_RES | 2023-05-22 |
| MA | RA | APPROVED | 2021-08-03 |
Branch Locations
297 Billerica Road, Chelmsford, MA 01824 • United States
500 West Central Street, Franklin, MA 02038 • United States
Wrentham, MA • United States
15 Greenleaf Way, Burlington, MA 01803 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities Inc. | Westwood | MA | 01/2015 | 06/2021 |
| Lpl Financial, Llc | Chelmsford | MA | 07/2021 | Present |
| First Technology Federal Credit Union | Chelmsford | MA | 07/2021 | Present |
1. 7/2021 - DBA for LPL Business (entity for LPL business) - Digital Investment Services - Investment Related - Chelmsford, MA 01824 2. 09/29/2021 - No Business Name - Not Investment Related - Home Based - Other-Etsy Account - Start Date: 01/04/2021 - 0 Hours Per Month/0 Hours During Securities Trading. 3. 08/03/2022 - Digital Federal Credit Union - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Program Manager - Start Date - 07/05/2022 - 8 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-10 |
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