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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 | 2008-10-23 |
| IN | RA | APPROVED | 2006-06-21 |
Branch Locations
9465 Counselors Row, Ste 200, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Indianapolis | IN | 03/2006 | Present |
1. 04/01/08 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - WELLS FINANCIAL GRP. - INV REL - AT REPORTED BUSINESS LOCATIOIN(S) 2. 08/06/2014 - CAPITAS FINANCIAL - NON-VARIABLE INSURANCE TRAILS ONLY - I WILL NO LONGER WRITE NEW BUSINESS THROUGH THIS INSURANCE BROKERAGE AS I AM UTILYZING LPL INSURANCE CURRENTLY AND FOR ALL NEW BUSINESS. I WILL, HOWEVER, STILL SERVICE ANY EXISTING CONTRACTS. - INDIANAPOLIS, IN
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-20 |
| S66 | Uniform Combined State Law Examination | 2000-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-08 |
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