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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 07/2014 | 11/2024 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 07/2014 | 11/2024 |
| Lpl Financial | Armonk | NY | 11/2024 | Present |
1- 11/2024 / Walnut Beech Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 11/2024 / Christian Washington NVI / Non-Variable Insurance / Investment Related / 10 hrs mth / 2 hrs during trading / Armonk, NY / Start date: 10/01/2014 3- 11/2024 / City University of New York / Other - Teacher/Teaching / Not Investment Related / 8 hrs during trading / New York, NY / Start date: 07/01/2017 4- 11/2024 / Christian Washington Rental Property / Real Estate Rental / Inv Rltd / 2 hrs mnth / start 06/01/2012
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-09-27 |
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