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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
950A Union Rd Ste 234, West Seneca, NY 14224 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linsco / Private Ledger Corp. | N. Tonawanda | NY | 10/2000 | Present |
1. INDEPENDENT FIXED INSURANCE BUSINESS / AGENT SELLING TERM, UL, TRH TMS, LTC & DISABILITY INSURANCE / NORTH TONAWANDA, NY / APPROVED OCTOBER 24, 2005 2. 11/21/06 - THE RETIREMENT INCOME FOCUS /DBA/NON-VARIABLE INSURANCE DBA. 3. 12/19/2016 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 03/01/2005 - 1 Hour Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1998-10-28 |
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