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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2018-08-21 |
| AZ | RA | APPROVED | 2018-08-10 |
| NM | RA | APPROVED | 2018-08-10 |
| ID | RA | APPROVED | 2018-08-09 |
| UT | RA | APPROVED | 2016-11-28 |
Branch Locations
9800 Monroe St, Sandy, UT 84070 • United States
7167 South Center Park Drive Floor 2, West Jordan, UT 84084 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Salt Lake City | UT | 05/2008 | Present |
1. 6/24/2008 - MOUNTAIN AMERICA INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 8/21/2008 - MOUNTAIN AMERICA INSURANCE SERVICES - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - TIME SPENT 5% - MANAGE OPERATIONS AND COMPLIANCE FOR MOUNTAIN AMERICA INSURANCE SERVICES AS PART OF MY ROLE WITH MOUNTAIN AMERICA CREDIT UNION. AS A DUAL ROLE EMPLOYEE, THESE ARE PART OF MY DAY TO DAY RESPONSIBILITIES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-12 |
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