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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-11 |
| KS | RA | APPROVED | 2022-02-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Shawnee Mission | KS | 05/2008 | 08/2021 |
| Various Insurance Carriers For W & R Insurance Agency, Inc. | Prairie Village | KS | 05/2008 | 08/2021 |
| Unemployed | Prairie Village | KS | 08/2021 | 02/2022 |
| Lpl Financial Llc | Prairie Village | KS | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-01 |
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