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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 | 2023-01-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Chase Bank | Rochester | NY | 05/2008 | 09/2022 |
| Edward Jones | St Louis | MO | 09/2022 | 12/2022 |
| Torregrossa Properties Llc | Hilton | NY | 08/2021 | 06/2022 |
| Lpl Financial Llc | Rochester | NY | 01/2023 | Present |
| Esl Investment Services, Llc | Rochester | NY | 01/2023 | Present |
1.01/25/2023; ESL Investment Services, LLC; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 01/25/2023; hrs/mth; hrs during trading 2.02/28/2023; Investment products and services are offered through LPL Financial LLC using the DBA/trade name ESL Investment Services / ESL Investment Services LLC; Investment Related; at Reported Business Location(s); Start Date 02/28/2023; hrs/mth; hrs during trading 3.05/03/2023; none; Real Estate Rental; Investment Related; NY 14420,97-99; Start Date 04/27/2023; 5hrs/mth; 0hrs during trading 4.06/13/2024; Torregrossa Properties LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 05/08/2024; 5hrs/mth; 0hrs during trading 5.06/15/2026 - Torregrossa Properties LLC - Real Estate Rental - Investment Related - Brockport, Hamlin, & Hilton, NY - Start Date 01/15/2024 - 5 hours per month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-25 |
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