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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 | 2020-12-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors Llc | Denver | CO | 03/2011 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 03/2011 | 12/2020 |
| Lpl Financial Llc | Lakewood | CO | 12/2020 | Present |
1) 12/4/2020- Blue Chip Benefits, Ltd-Non-Variable Insurance- co-agent- Inv. Related- Littleton, CO- start date 1/1/2016- 1hr/mth 2) 01/27/2022 - Colorado Christian University Athletic Program - Not Investment Related - 8787 W. Alameda Ave., Lakewood, Colorado 80226 - Outside/W-2 Employment - Replay Official - Start Date: 11/15/2019 - 20 Hours Per Month/0 Hours During Securities Trading. 3) 01/12/2023 - No Business Name - Investment Related - At Reported Business Location(s)- Non-Variable Insurance - Insurance Agent / Financial Advisor - Start Date - 12/22/2022 - 1 Hours Per Month/0 Hours During Securities Trading 4) 07/18/2024 - FH Insurance - Non-Variable Insurance - Insurance Agent - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 8 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-06 |
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