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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 | 2025-02-04 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
2300 W. Lawrence, Chicago, IL 60625 • United States
190 E Delaware Pl, Chicago, IL 60611 • United States
4343 N Elston Avenue, Chicago, IL 60641 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments | Chicago | IL | 02/2009 | 01/2025 |
| Lpl Financial Llc | Chicago | IL | 01/2025 | Present |
1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 02/27/2009- 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-02 |
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