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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2019-08-21 |
| TX | RA | APPROVED_RES | 2016-04-22 |
| IL | RA | APPROVED | 2007-04-17 |
Branch Locations
420 W. Grand Ave, Suite 1B, Chicago, IL 60654 • United States
Michigan City, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Air Force Reserve | Grissom Afb | IN | 09/2001 | 09/2018 |
| Lpl Financial Llc | Chicago | IL | 05/2005 | Present |
1. 2/14/2011: NON-VARIABLE INSURANCE - LEADERS PARTNERS - INSURANCE SALES. OFFERED THROUGH LEADERS PARTNERS, BARRINGTON, IL. - 3% OF TIME SPENT. 2. 1/12/2012: OTHER-FOR ACCOUNTING PURPOSES ONLY - PRIMORC FINANCIAL INC. - USE PRIMORC FINACIAL FOR ACCOUNTING PURPOSES IN MANAGING BUSINESS. PRIMORC IS NOT USED AS A DBA OR IN ANY WAY WITH CLIENTS. - 1% OF TIME SPENT - CHICAGO, IL. 3. 1/9/2020 - No Business Name - Not Investment Related - Berwyn, IL 60402 - Real Estate Rental - Started 12/16/2019 - 2 Hours Per Month/0 Hours During Securities Trading - 3 unit rental building. 4. 1/31/2020 - JKM LLC - Investment Related - 420 W. Grand Ave, Unit 1b, Chicago, IL. 60654 - Real Estate Rental - Started 03/27/2014 - 1 Hour Per Month During Securities Trading - 1 commercial space. 5. 9/8/2020 - MV Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 8/21/2020 - 0 Hours Per Month/0 Hours During Securities Trading. 6. 2/3/2021 - No Business Name - Investment Related - Home Based - Non-Variable Insurance - Started 12/21/2020 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-16 |
| S65 | Uniform Investment Adviser Law Examination | 2000-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-27 |
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