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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2019-12-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Phoenixville | PA | 04/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Phoenixville | PA | 11/2016 | 12/2019 |
| Diamond Credit Union | Royersford | PA | 12/2019 | Present |
| Lpl Financial Llc | Royersford | PA | 12/2019 | Present |
1. 06/03/2024 - Heidel Plumbing - Outside/W-2 Employment - Helper - Not Investment Related - Collegeville, PA - Start Date 04/15/2024 - 32 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-27 |
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