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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-01-20
TX RA APPROVED 2023-01-19
  • FL RA
    APPROVED
    Since 2023-01-20
  • TX RA
    APPROVED
    Since 2023-01-19

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

2040 Highway A1A, Ste 207, Indian Harbour Beach, FL 32937 • United States

2040 Highway A1A Ste 207, Indian Harbour Beach, FL 32937 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sigma Financial Corporation Ann Arbor MI 01/2009 12/2022
Spc Ann Arbor MI 01/2009 12/2022
Lpl Financial Llc Indian Harbour Beach FL 01/2023 Present
  • 01/2009 → 12/2022
    Sigma Financial Corporation
    Ann Arbor, MI
  • 01/2009 → 12/2022
    Ann Arbor, MI
  • 01/2023 → Present
    Indian Harbour Beach, FL
Previous Registrations
Other Businesses

1-01/2009 / API Financial Management, Inc. / Non-Variable Insurance / INVESTMENT RELATED / Indian Harbour Beach, FL 2- 01/2009 / API FINANCIAL MANAGEMENT, INC / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / Indian Harbour Beach, FL 3- 02/2008 / Manny's Allstar Band / OTHER / NON INVESTMENT RELATED / COCOA BEACH, F

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-20
  • S66 Uniform Combined State Law Examination
    2007-03-20

View on SEC IAPD

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