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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 |
|---|---|---|---|
| MT | RA | APPROVED | 2016-02-19 |
| TX | RA | APPROVED_RES | 2015-08-14 |
| MN | RA | APPROVED | 2015-08-10 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
Elk River, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Fort Mill | SC | 07/2015 | Present |
1. 11/21/2016: Laguna Pool Plastering - Not Investment Related - 1550 91st Ave NE #101, Blaine, MN 55449 - Outside/W-2 Employment - Started 01/01/2009 - 5 Hours Per Month/0 Hours During Securities Trading - Laborer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-28 |
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