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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Various Insurance Carriers For W&R Insurance Agencies | New Freedom | PA | 10/2015 | 07/2021 |
| Naber Interactive | New Freedom | PA | 12/2018 | 07/2021 |
| Waddell & Reed Inc | York | PA | 10/2015 | 07/2021 |
| Lpl Financial Llc | New Freedom | PA | 07/2021 | Present |
1) 07/2021 - DBA for LPL Business (entity for LPL business) - WRI Investments - Investment Related - Savage, MN 2) 12/10/2018 - Business Entity For Tax/Investment Purposes Only - Naber Interactive, LLC - 15-20Hrs/Mo - Not Investment Related - New Freedom, PA 17349 3) 1/5/2022 - Ibrahim Al Naber, LLC - Not Investment Related - At Reported Business Location(s) & Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 4/1/2022 - Hours Per Month/0 Hours During Securities Trading - Flow through entity for all monies paid by LPL. 4) 07/12/2022 - Modern Life Group, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 07/08/2022 - 5 Hours Per Month/5 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-19 |
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