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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2021-07-15 |
| TX | RA | APPROVED_RES | 2021-04-13 |
| CA | RA | APPROVED | 2020-12-17 |
Branch Locations
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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2008 | 03/2020 |
| Northwestern Mutual Investment Services, Llc | San Francisco | CA | 07/2008 | 03/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 03/2020 |
| Lpl Financial, Llc | Buchanan | MI | 12/2020 | Present |
| Timothy Barlow | Buchanan | MI | 03/2020 | 11/2020 |
1. 12/13/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/01/2021 - 20 Hours Per Month/5 Hours During Securities Trading. 2. 02/17/2022- Demeter Land- Not Investment Related - At Reported Business Location(s )- Outside/W-2 Employment- Solar Sale Rep - Start Date - 02/21/2022- 20 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-29 |
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