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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2018-01-11 |
| VA | RA | APPROVED | 2009-10-30 |
Branch Locations
Copper Hill, VA • United States
2650 Electric Road, Suite D, Roanoke, VA 24018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Roanoke | VA | 04/2004 | Present |
1. 9/5/2018 - Miller, Walker and Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/04/2018 - 160 Hours Per Month/150 Hours During Securities Trading. 2. 3/9/2020 - River Birch Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/01/2020 - 160 Hours Per Month/150 Hours During Securities Trading. 3. 3/13/2020 - Mcjobyn LLC - Investment Related - 2650 Electric Rd, Suite 201C and Suite 202d, Roanoke, VA 24018 - Real Estate Rental - Started 03/03/2020 - 2 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-17 |
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