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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 | 2022-12-07 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Richardson | TX | 01/1997 | 12/2022 |
| Lpl Financial Llc | Dallas | TX | 12/2022 | Present |
1)12/05/2022 - BROWN FAMILY FARM, LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) 2) 05/08/2023 - Brown Family Farm LLC - Investment Related - Broken Bow, Oklahoma - Real Estate Rental - Start Date 05/25/2023 - 10 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-03-03 |
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