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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities Inc | Buffalo | NY | 10/1997 | Present |
| M&T Securities, Inc. | Buffalo | NY | 01/1998 | Present |
| Lpl Financial Llc | Buffalo | NY | 06/2021 | Present |
| Lpl Financial Llc | Buffalo | NY | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-13 |
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