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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2019-12-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Valic Financial Advisors, Inc. | Midlothian | VA | 05/2010 | 11/2019 |
| Lpl Financial Llc | Glen Allen | VA | 11/2019 | Present |
1)11/8/19- Cap7 Financial Services- DBA for LPL Business (entity for LPL business)- Inv. Related- Glen Allen, VA- 100% 2)11/8/19- Page Auto Group- Outside/W-2 Employment- Sales- Non-Inv. Related- Richmond, VA- start date 9/11/2019- 40hrs/mth- 10% 3)11/8/19- Lincoln Financial- Non-Variable Insurance/ Agent for Fixed annuities- Inv. Related- Fort Wayne, IN- start date 1/3/2006- 0% 4)11/8/19- Fidelity & Guaranty life- Non-Variable Insurance/Agent for Fixed annuities - Inv. Related- Fort Wayne, IN- start date 7/8/19- 5% 5)11/14/22 - Protective life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 09/15/2022 - 5 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-27 |
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