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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 | 2022-05-05 |
| PA | RA | APPROVED | 2022-05-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Penn Mutual | Horsham | PA | 04/2004 | 05/2022 |
| Hornor, Townsend & Kent, Inc. | Horsham | PA | 04/2004 | 05/2022 |
| Lpl Financial Llc | Lincoln University | PA | 05/2022 | Present |
1) 05/03/2022 - Rockwell Insurance Agency - Investment Related - 1521 Concord Pike Wilmington, DE 19803 - Non-Variable Insurance - Agent - Start Date: 9/2000 - 1hrs/mth. 2) 05/13/2022 - 1847 Financial - Investment Related - At Reported Business Location(s) - Other - Non-variable Insurance trails only - Agent - Start Date - 05/11/2022 - 2 Hours Per Month/ 1 Hours During Securities Trading -
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-29 |
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