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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2018-08-17 |
| LA | RA | APPROVED | 2018-04-30 |
| TX | RA | APPROVED_RES | 2015-09-10 |
| GA | RA | APPROVED | 2007-09-07 |
Branch Locations
420 Creekstone Rdg Ste 300, Woodstock, GA 30188 • United States
3017 Harvard Ave Ste 205, Metairie, LA 70003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Kennesaw | GA | 06/2003 | Present |
(1) 9/9/2009: TOLLIN FINANCIAL GROUP, LLC - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION - Name change from Tollin Investment Group, LLC - 20% TIME SPENT. (2) 11/25/2013 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Fixed Life Insurance Sales - 5% TIME SPENT. (3) 05/22/2019 - TOLLIN FINANCIAL GROUP LLC - Investment related - METAIRIE, LA - Real Estate Rental - start date 04/08/2019 - 1 hr/mo - 0 hrs during trading. (4) 06/03/2026 - Accounting Associates, LLC - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - 32 hours per month/ 16 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-13 |
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