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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-12-12 |
| AR | RA | APPROVED | 2017-12-08 |
Branch Locations
11311 Arcade Dr Ste 120, Little Rock, AR 72212 • United States
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 |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | North Little Rock | AR | 09/2013 | 11/2017 |
| Lpl Financial, Llc | Little Rock | AR | 12/2017 | Present |
1. 12/07/2017 - FINRA ARBITRATOR/ FINRA ARBITRATOR/ 5%/ LITTLE ROCK, AR 2. 12/07/2017 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ 5%/ LITTLE ROCK, AR 3. 4/26/2018 - Ceja Law Firm - Not Investment Related - Home Based - Other-Law Firm - Started 04/23/2018 - 15 Hours Per Month/0 Hours During Securities Trading 4. 06/11/2023 - SC Collectibles - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Auction Sales - Start Date 01/18/2023 - 30 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-04 |
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