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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2025-10-21 |
| MN | RA | APPROVED | 2021-10-29 |
Branch Locations
1650 W 82Nd St., Suite 650, Bloomington, MN 55431 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northrock Partners | Minneapolis | MN | 10/2013 | 04/2021 |
| Commonwealth Financial Network | San Diego | CA | 04/2021 | 10/2021 |
| Haukedahl Financial Services, Llc | Bloomington | MN | 10/2021 | 10/2021 |
| Commonwealth Financial Network | San Diego | CA | 10/2021 | 10/2021 |
| Lpl Financial Llc | Bloomington | MN | 10/2021 | Present |
1)10/2021- LGM Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- BLOOMINGTON, MN
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-08-13 |
| S66 | Uniform Combined State Law Examination | 2010-09-07 |
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