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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2018-06-27 |
| IL | RA | APPROVED | 2018-02-14 |
| IN | RA | APPROVED | 2018-02-14 |
| MN | RA | APPROVED | 2018-02-14 |
| SC | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
Branch Locations
55 W 94Th Pl, Crown Point, IN 46307 • United States
200 E Lincoln Way, Valparaiso, IN 46383 • United States
11030 96Th Pl, St. John, IN 46373 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Merrillville | IN | 06/2005 | 02/2018 |
| Lpl Financial Llc | Valparaiso | IN | 02/2018 | Present |
1. 02/14/2018 - No Business Name - Investment Related - Non-Variable Insurance - LICENSED AGENT. 2. 02/14/2018 - OAK PARTNERS INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 09/27/2023 - Valparaiso Community Schools - Outside/W-2 Employment - JV Baseball Coach - Not Investment Related - Valparaiso, IN - Start Date 04/01/2024 - 40 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-23 |
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