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CRD 4608281
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 |
|---|---|---|---|
| OH | RA | APPROVED | 2012-07-10 |
Branch Locations
435 S. Washington St., New Bremen, OH 45869 • United States
104 S. Main St., New Knoxville, OH 45871 • United States
347 W. Russell Rd., Sidney, OH 45365 • United States
406 N Main St, Botkins, OH 45306 • United States
406 N. Hamilton Rd., Wapakoneta, OH 45895 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | New Bremen | OH | 03/2012 | Present |
1. 5/9/2012 - First National Financial & Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2003-02-21 |
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