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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 |
|---|---|---|---|
| UT | RA | APPROVED | 2022-05-11 |
| SC | RA | APPROVED | 2021-05-25 |
| OH | RA | APPROVED | 2021-05-20 |
| TX | RA | APPROVED | 2021-05-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 06/2015 | 10/2016 |
| J.P. Morgan Securities Llc | Columbus | OH | 03/2020 | 05/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 10/2016 | 02/2020 |
| Lpl Financial, Llc | Fort Mill | SC | 05/2021 | Present |
1) 08/10/2022- Deyan Audio- Not Investment Related- 18711 Miranda Street, Los Angeles, CA - Outside/W-2 Employment- Start Date- 08/08/2022- 40 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-29 |
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