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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2020-07-30 |
| TX | RA | APPROVED | 2002-06-25 |
Branch Locations
8900 Eastloch Dr Ste 315, Spring, TX 77379 • United States
21415 Aurora Park Drive, Richmond, TX 77406 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Richmond | TX | 01/2000 | Present |
1. 02/03/2016 * Talbot Financial * DBA for LPL Business (entity for LPL business) * Talbot Financial * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 02/01/2016 * 160 HRS/MO; 8 HRS/MO DURING SECS TRDG HRS. 2. 12/22/2016 - Karen K. Abramski, P.C. - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Start 01/01/2017 - 15 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-12-17 |
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