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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 | 2016-09-06 |
| GA | RA | APPROVED | 2014-06-03 |
Branch Locations
900 Ashwood Parkway Ste 330, Atlanta, GA 30338 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Peachtree Wealth Strategies | Chamblee | GA | 06/2012 | Present |
| Lpl Financial, Llc | Chamblee | GA | 03/2014 | Present |
(1) 04/01/2014: Peachtree Wealth Stategies - Non-Variable Insurance DBA - DBA: Peachtree Wealth Stategies - Investment Related - At Reported Business Location(s) - 20% Time Spent - fixed, life, disability, LTC (2) 08/24/2016: BAY FINANCIAL ASSOCIATES LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 3580 PIERCE DRIVE, CHAMBLEE, GA 30341 - Start 08/19/2016 - No Time Spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-14 |
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