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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-10-07 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Capital One Financial Advisor | New York | NY | 04/2013 | 07/2018 |
| Capital One Sharebuilder, Inc. | New York | NY | 01/2015 | 07/2018 |
| Sharebuilder 401K | Seattle | WA | 01/2015 | 07/2018 |
| Woodbury Financial Services, Inc. | New York | NY | 07/2018 | 01/2024 |
| Woodbury Financial Services, Inc. | New York | NY | 07/2018 | 01/2024 |
| Osaic Wealth, Inc. | New York | NY | 01/2024 | 10/2024 |
| Lpl Financial | New York | NY | 10/2024 | Present |
1. K and L Planning LLC- Business Entity For Tax/Investment Purposes Only- NY 10013- Non Inv Rel- 40 Hrs Per Mnth- 40 Hrs During Trading- Start Date 05/31/2018 2. Crump Life insurance- Non-Variable Insurance-NY 10013- Inv Rel- 40 Hrs Per Mnth- 40 Hrs During Trading- Start Date 05/31/2018 3. Sunrise 79 LLC- Real Estate Rental- NY 10005- Inv Rel- 1 Hrs Per Mnth- 1Hrs During Trading- Start Date 12/31/2012
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-03 |
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