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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 | 2023-08-16 |
| MO | RA | APPROVED | 2023-08-16 |
| TX | RA | APPROVED_RES | 2023-08-16 |
Branch Locations
1090 Woodsmill Plaza, Chesterfield, MO 63017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commerce Brokerage Services, Inc | St. Louis | MO | 03/2001 | 08/2023 |
| Commerce Bank | St. Louis | MO | 03/2001 | Present |
| Lpl Financial Llc | Chesterfield | MO | 08/2023 | Present |
1. 03/29/2023 - Commerce Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-06 |
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