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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-07-21 |
| DC | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| ME | RA | APPROVED | 2021-07-21 |
| MD | RA | APPROVED | 2021-07-21 |
| NC | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| PA | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
Branch Locations
800 Corporate Dr Ste 301, Stafford, VA 22554-4889 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Stafford | VA | 02/1997 | 07/2021 |
| Various Insurance Carriers | Woodbridge | VA | 09/1997 | 07/2021 |
| Lpl Financial Llc | Stafford | VA | 07/2021 | Present |
1. 07/2021/Insurance Agent/Non-Variable Insurance/Investment Related/South East, VA/0 HRS/MO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-02 |
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