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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-08-26 |
| CO | RA | APPROVED | 2013-02-27 |
Branch Locations
8400 E Prentice Ave. Ste #1125, Greenwood Village, CO 80111 • United States
Denver, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Greenwood Village | CO | 02/2013 | Present |
| Prosperion Planning, Llc (Dba: Prosperion Financial Advisors) | Greenwood Village | CO | 04/2017 | Present |
1. 02/26/2013 - PROSPERION FINANCIAL ADVISORS/ DBA ONLY/ 100%/ GREENWOOD VILLAGE, CO. 2. 5/24/2017 - Prosperion Planning, LLC - DBA: Prosperion Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 04/27/2017 - 5 Hours Per Month During Securities Trading - I provide financial planning and consulting services through Prosperion Planning, LLC an independent advisor firm. I started this business activity in May 2017. I expect to spend 5 hours per month on this activity. Please see the advisory firm Form ADV for more information about its address, the nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 1/29/2018 - Red Oak Financial, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/11/2018 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-24 |
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