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CRD 5299720
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_RES | 2025-06-14 |
| IN | RA | APPROVED | 2021-10-22 |
Branch Locations
7503 Beachwood Center Road, Avon, IN 46123 • United States
135 N Pennsylvania St Ste 1500, Indianapolis, IN 46204 • United States
610 W. Northfield Dr, Brownsburg, IN 46112 • United States
1402 E 86Th Street, Indianapolis, IN 46240 • United States
124 East Grove Street, Caledonia, MN 55921-1304 • United States
120 W Water St, Decorah, IA 52101-1806 • United States
2260 W 86Th Street, Indianapolis, IN 46260 • United States
253 W Tournament Trail, Westfield, IN 46074 • United States
Westfield, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Financial Advisors, Inc. | Indianapolis | IN | 11/2013 | 03/2021 |
| Lpl Financial Llc | Indianapolis | IN | 03/2021 | Present |
1. 4/16/2021 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA For LPL Business (entity for LPL Business). 2. 12/13/2021 - Beckway Home Solutions, LLC - Not Investment Related - Home Based - Outside/W-2 Employment - Started 03/13/2021 - 10 Hours Per Month/0 Hours During Securities Trading - Book keeping/marketing for brother's handyman business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-22 |
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