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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2008-10-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Durham | CT | 05/2000 | Present |
1. 7/30/2001 - FINANCIAL BENEFITS UNLIMITED - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - INSURANCE BUSINESS OFFERED. 2. 3/25/2009 - SBLI of CT - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 2% OF TIME - FIXED ANNUITY. 3. 3/25/2009 - AMERICAN NATIONAL - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 2% OF TIME - FIXED ANNUITY. 4. 3/25/2009 - EQUITRUST - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 2% OF TIME - FIXED ANNUITY. 5. 1/23/2018 - Financial Benefits Unlimited, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2001 - 40 Hours Per Month/6 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-27 |
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