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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2019-02-15 |
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Overland Park | KS | 12/2010 | Present |
| V Wealth Management, Llc | Overland Park | KS | 12/2010 | Present |
1. 1/12/2011: MUTUAL OF OMAHA - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - TIME SPENT 5% - OFFERING LTC TO CLIENTS AND PROSPECTS WHERE APPLICABLE AS WELL AS REVIEWS OF EXISTING LTC POLICIES. 2. 11/17/2022 - Millennium Brokerage Group, LLC - Investment Related - At Reported Business Location(s)- Non-Variable Insurance - Agent - Start Date - 12/01/2022 - 10 Hours Per Month/10 Hours During Securities Trading 3) 05/21/2025 - Missouri Korean War Veterans Memorial - Not Inv. Related - Outside/W-2 Employment - Lee's Summit MO - Start Date:06/01/2025 - 60 Hours Per Month/2 Hours During Securities Trading 4) 05/23/2025 - MO. Korean War Verterans Memorial - Non-Profit Board Member - Investment Related - Kansas City, MO - Start Date: 04/02/2025 - 40 Hours Per Month/2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-15 |
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