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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 |
|---|---|---|---|
| RI | RA | APPROVED | 2021-07-21 |
Branch Locations
1300 Division Rd Ste 201 Ste 201, West Warwick, RI 02893 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | West Warwick | RI | 02/2007 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | West Greenwich | RI | 01/2007 | 07/2021 |
| Axia College Of Universoty Of Phoenix | Phoenix | AZ | 10/2009 | 12/2016 |
| Brea & Keith Hutchinson | Hobe Sound | FL | 01/2006 | 06/2018 |
| Bjh Llc | West Greenwich | RI | 01/2008 | 07/2021 |
| Notary | West Greenwich | RI | 01/2007 | 07/2021 |
| B Dock Properties Llc | West Warwick | RI | 02/2019 | 07/2021 |
| Hutchinson Property Llc | West Greenwich | RI | 05/2018 | 07/2021 |
| Lpl Financial Llc | West Warwick | RI | 07/2021 | Present |
1) 08/19/2021 - BREA HUTCHINSON- Notary- inv. related- West Greenwich , RI - Start Date:6 yrs. Ago 2) 08/19/2021 - Hutchinson Property LLC - Real Estate Rental- owner - inv. related- 5 Rock Ave Pawtucket RI 02861- Start Date:6/2018- 0hrs/mth 3) 08/19/2021 - BJH LLC- Business Entity For Tax/Investment Purposes Only- owner - non-inv. related- WEST WARWICK, RI- Start Date: 1/2008 - 150hrs/mth 4)08/19/2021 - B Dock Properties LLC- Real Estate Rental- owner - inv. related- 1300 Division Rd, Suite 201, W Warwick- Start Date: 6/2019 - 0hrs/mth 5) 04/20/2022 - Associates of Clifton Park - Investment Related -Non-Variable Insurance - At Reported Business Location(s) - Start Date - 04/01/2022 - 2 Hours Per Month/2 Hours During Securities Trading. 6) 05/26/2022 - Sardelli & Hutchinson Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 08/01/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading. 7) 08/20/2024 - Family First Real Estate LLC - Real Estate Rental - Investment Related - Warwick, RI - Start Date 12/01/2023 - 1 Hour Per Month/ 0 Hours During Trading 8) 09/23/2025 - White Caps Real Estate LLC - Investment Related - Real Estate Rental - Narragansett RI - Start Date: 08/29/2025 - 1 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-05 |
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