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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2020-10-08 |
Branch Locations
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 |
|---|---|---|---|---|
| Nationwide Ins | Cranberry Twp | PA | 01/2004 | 12/2019 |
| Nationwide Securities Inc | Dublin | OH | 02/2004 | 12/2019 |
| Lpl Financial Llc | Butler | PA | 12/2019 | Present |
1)01/02/2020- Infinity Financial Services Group, LLC- Non-Variable Insurance- Agent for Fixed life and Annuities- Inv. Related- Butler, PA- start dat :01/01/2020 - 40 Hrs/Mth - 2 Hrs During Trading. 2)01/02/2020 - Infinity Financial Services Group, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Butler, PA- Start Date: 01/01/2020 - 120 Hrs/Mth - 6 Hrs During Trading. 3) 09/18/2025 - 3 Rivers Trading Cards - Not Investment Related - Business Owner - At Reported Business Location(s) - Start Date:09/04/2025 - 8 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-23 |
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