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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2022-05-18 |
| KY | RA | APPROVED | 2022-05-18 |
Branch Locations
804 Hausfeldt Ln, New Albany, IN 47150 • United States
710 Pillsbury Ln, New Albany, IN 47150 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Brokerage Services | Waverly | IA | 11/2016 | Present |
| Centra Credit Union | Columbus | IN | 11/2016 | Present |
| Unemployed | Louisville | KY | 08/2016 | 11/2016 |
| Lpl Financial Llc | New Albany | IN | 05/2022 | Present |
1)05/18/2022 - Centra Financial Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business) 2)05/18/2022 - Contra Financial Services, LLC/ Division of Centra Credit Union-Investment Related- At Reported Business Location(s)- Financial Institution Duty- Financial Advisor- Start Date- 2002- 160 Hours Per Month/ 160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2008-03-12 |
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