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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2024-04-17 |
| TX | RA | APPROVED_RES | 2024-04-12 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 08/2010 | 04/2024 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 08/2010 | 04/2024 |
| Lpl Financial Llc | Cedar Rapids | IA | 04/2024 | Present |
1- 02/2024 / Walker INC / Business Entity For Tax/Investment Purposes Only / NON INVESTMENT RELATED / 160 HR MNTH / 8 HRS DURING TRADING / START DATE 08/01/2010 2- 02/2024 / Edge Investment Solutions / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / 160 HRS MNTH / 8 HRS DURING TRADING 3- 02/2024 / Crump / Non-Variable Insurance / INVESTMENT RELATED / START DATE 08/01/2010 4- 02/2024 / Dave Ramsey - SmartVestor Pro / OTHER / NON INVESTMENT RELATED / START DATE 11/06/2006 5-02/2024 / WALKER REAL ESTATE PROPERTIES. LL / Real Estate Rental / NON INVESTMENT RELATED / START DATE 02/01/2021 6- 02/2024 / WALKER REAL ESTATE PROPERTIES OF IOWA, LLC / Real Estate Rental / NON INVESTMENT RELATED / START DATE 07/01/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-24 |
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