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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 | 2021-03-26 |
| IL | RA | APPROVED | 2021-03-24 |
Branch Locations
205 Northwest Hwy, Palatine, IL 60067 • United States
50 N Brockway St, Palatine, IL 60067 • United States
Inverness, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Harris Investor Services Inc | Palatine | IL | 12/2005 | Present |
| Lpl Financial Llc | Palatine | IL | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - PALATINE, IL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-31 |
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