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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Lakewood | CO | 01/2008 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Wheat Ridge | CO | 05/2008 | 07/2021 |
| Darin Hammerschmidt Llc | Golden | CO | 09/2012 | 09/2018 |
| Kiwanis Club Of Lakewood Board Member | Lakewood | CO | 10/2009 | Present |
| West Chamber Serving Jefferson County | Lakewood | CO | 01/2012 | Present |
| Ywealth Llc | Wheat Ridge | CO | 10/2018 | Present |
| Localworks | Wheat Ridge | CO | 01/2019 | Present |
| Wheat Ridge Business Association | Wheat Ridge | CO | 04/2019 | Present |
| Hammer1 Holdings Llc | Wheat Ridge | CO | 10/2019 | Present |
| Lpl Financial, Llc | Lakewood | CO | 07/2021 | Present |
1. 10/11/2021 - AOCP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - LTC, fixed life products. 2. 10/14/2021 - Hammer1 Holdings, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 10/2019 - President, Sole Owner. 3. 11/16/2021 - Rocky Mountain Insurance Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 11/15/2021 - 1 Hour Per Month During Securities Trading. 4. 07/06/2022 - WealthClarity - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/06/2022. 5. 01/03/2023 - Financial Insurance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 12/16/2022 - 1 Hour Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-07-01 |
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