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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 | 2018-01-04 |
| TX | RA | APPROVED_RES | 2018-01-04 |
Branch Locations
6000 Town Center Blvd Ste 108, Canonsburg, PA 15317 • United States
Washington, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Commonwealth Bank | Pittsburgh | PA | 03/2014 | 11/2016 |
| Infinex Investments, Inc. | Meriden | CT | 10/2015 | 11/2016 |
| First National Bank Of Pa | Mcmurray | PA | 11/2016 | 01/2017 |
| Cetera Investment Advisors | Mcmurray | PA | 11/2016 | 01/2018 |
| Cetera Investment Services | St.CLoud | MN | 12/2017 | 01/2018 |
| Lpl Financial, Llc | Washington | PA | 01/2018 | Present |
1. 4/22/2020 - Adam M Kearns Wealth Advisor LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/21/2020 - 40 Hours Per Month During Securities Trading. 2. 5/5/2020 - NSS Life - Investment Related - At Reported Business Location(s) - 351 Valleybrook Rd, McMurray, PA 15317 - Non-Variable Insurance - Agent - Started 01/01/2020 - 10 Hours Per Month During Securities Trading. 3. 08/28/2024 - AK Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/01/2024 - 160 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-05 |
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