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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2021-03-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hermitage | TN | 10/2014 | 02/2018 |
| Bank Of America, N.A. | Hermitage | TN | 10/2014 | 02/2018 |
| U.S. Bancorp Investments, Inc. | Murfreesboro | TN | 02/2018 | 03/2021 |
| Lpl Financial | Murfreesboro | TN | 03/2021 | Present |
1)03/2021 - NON-VARIABLE INSURANCE - RUCKART ASSOCIATES, INC DBA RAI ADVISORS - 1HR/MO - INVESTMENT RELATED - MURFREESBORO TN 37130 2)03/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - RUCKART ASSOCIATES, INC - INVESTMENT RELATED - MURFREESBORO TN 37130 3)03/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - RAI ADVISORS - INVESTMENT RELATED - MURFREESBORO TN 37130
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-01-15 |
| S65 | Uniform Investment Adviser Law Examination | 2006-11-20 |
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