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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-11-21 |
| NY | RA | APPROVED | 2021-08-03 |
| PA | RA | APPROVED | 2020-12-17 |
Branch Locations
Canandaigua, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsford | NY | 05/2014 | 12/2020 |
| Bank Of America, N.A. | Pittsford | NY | 07/2014 | 12/2020 |
| Lpl Financial, Llc | Canandaigua | NY | 12/2020 | Present |
1)09/2015 - FOR PROFIT BOARD MEMBER - TOWN OF CANANDAIGUA FOR ZONING BOARD OF APPEALS - 0% - NOT INVESTMENT RELATED - CANANDAIGUA, NEW YORK 14424
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-23 |
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