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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 | 2022-08-10 |
| NE | RA | APPROVED | 2022-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Advisers Llc | Lincoln | NE | 04/2016 | 06/2017 |
| Great Western Bank | Lincoln | NE | 05/2011 | 09/2020 |
| Raymond James Financial Services, Inc | Lincoln | NE | 06/2017 | 07/2022 |
| Raymond James Financial Services Advisors Inc. | Lincoln | NE | 06/2017 | 07/2022 |
| Lpl Financial Llc | Lincoln | NE | 07/2022 | Present |
| First Interstate Bank | Lincoln | NE | 07/2022 | Present |
1)07/20/2022 - First Interstate Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)07/20/2022 - Great Western Financial services Inc. - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 07/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-10 |
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