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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_RES | 2022-10-24 |
| FL | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| MI | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
| NC | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Raleigh | NC | 05/1997 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Raleigh | NC | 06/1998 | 07/2021 |
| Lpl Financial Llc | Raleigh | NC | 07/2021 | Present |
06/1998-PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, RALEIGH, NC, INVEST-RELATED, INSURANCE SALES, INSURANCE AGENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-10 |
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