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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 | 2012-01-05 |
| NJ | RA | APPROVED | 2009-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Morristown | NJ | 03/2009 | Present |
(1) 03/18/2009 / NON-VARIABLE INSURANCE / SALES OF FIXED LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LTC / MORRISTOWN, NJ / 10% OF TIME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-12 |
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