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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 | 2021-03-31 |
| IN | RA | APPROVED | 2002-04-04 |
Branch Locations
8465 Keystone Xing Ste 195, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Indianapolis | IN | 03/2002 | Present |
1. 10/10/2002: NO BUSINESS NAME - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - SELL EMPLOYEE BENEFITS -GROUP LIFE. 2. 10/23/2002: RETIREMENT COUSELING SERVICES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 9/13/2019 - Hays Companies of Indiana - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Started 03/01/2002 - 4 Hours Per Month During Securities Trading - Sell a group health plan.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-18 |
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