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CRD 4034535
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_RES | 2023-05-22 |
| CO | RA | APPROVED | 2016-11-02 |
Branch Locations
7222 E Layton Avenue, Denver, CO 80237 • United States
6702 S Potomac Street, Centennial, CO 80111 • United States
890 Camino Del Rio, Durango, CO 81301 • United States
1201 Escalante Drive, Durango, CO 81303 • United States
2000 E 20Th Street, Farmington, NM 87401 • United States
6901 S Pierce Street, Littleton, CO 80128 • United States
9990 Commons St., Lone Tree, CO 80124 • United States
2000 S Colorado Blvd #2-1200, Denver, CO 80222 • United States
3300 W. 72Nd Avenue, Westminister, CO 80030 • United States
1650 S. Colorado Blvd, Denver, CO 80222 • United States
7391 W. 38Th, Wheat Ridge, CO 80033 • United States
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 |
|---|---|---|---|---|
| Key Investment Services | Denver | CO | 10/2007 | 10/2016 |
| Lpl Financial, Llc | Denver | CO | 11/2016 | Present |
1) 09/24/2016 - Vectra Wealth Advisors - inv rel - at reported business location(s). 2) 1/3/2017 - Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Relationship Manager - Started 12/28/2016 - 5 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-09 |
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