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CRD 2802086
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 |
|---|---|---|---|
| AR | RA | APPROVED | 2019-03-27 |
| TX | RA | APPROVED_RES | 2019-03-22 |
Branch Locations
17901 Chenal Parkway, Little Rock, AR 72223 • United States
300 N. Lincoln Ave., Star City, AR 71667 • United States
612 South Main Street, Hamburg, AR 71646 • United States
473 Hwy 425 North, Monticello, AR 71655 • United States
728 Hwy 65 82 South, Lake Village, AR 71653 • United States
100 West Grove Street, El Dorado, AR 71730 • 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 |
|---|---|---|---|---|
| Simmons First Investment Group, Inc | Little Rock, | AR | 04/2001 | 03/2019 |
| Lpl Financial Llc | Little Rock | AR | 03/2019 | Present |
| Simmons Bank | Little Rock | AR | 03/2019 | Present |
1. 3/20/2019 - Simmons Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-05 |
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