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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2021-05-05 |
| TX | RA | APPROVED | 2021-05-05 |
Branch Locations
22 Haverhill Rd Suite 5, Windham, NH 03087 • United States
22 Haverhill Rd Suite 5, Windham, NH 03087 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 05/2008 | 08/2017 |
| Commonwealth Financial Network | Windam | NH | 05/2008 | 08/2017 |
| Voya Financial Advisors | Windham | NH | 08/2017 | 04/2021 |
| Lpl Financial | Windham | NH | 05/2021 | Present |
1. 11/30/2022 - Rockingham Contracting & Therapy Services, LLC - Not Investment Related - 10 Buckhide Road Windham, NH 03087 - Outside/W-2 Employment - Assistant - Start Date - 11/25/2022 - 6 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-05-24 |
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