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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 | 2025-02-04 |
| WI | RA | APPROVED | 2025-01-23 |
Branch Locations
850 W. North Shore Drive, Hartland, WI 53029 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank | Muskego | WI | 05/2011 | 01/2025 |
| J.P. Morgan Securities Llc | Muskego | WI | 10/2012 | 01/2020 |
| Wintrust Investments Llc | Hartland | WI | 01/2020 | 01/2025 |
| Lpl Financial Llc | Hartland | WI | 01/2025 | Present |
1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 01/10/2020- 160 hours per month/ 150 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-22 |
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