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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-09-27 |
| GA | RA | APPROVED | 2021-05-03 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
609 Cherry Street, Suite B, Macon, GA 31201 • United States
121 N Madison St., Quincy, FL 32351 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 07/2014 | 07/2017 |
| Capital City Banc | Macon | GA | 07/2014 | 07/2017 |
| Ameriprise Financial Services, Inc. | Macon | GA | 07/2017 | 04/2021 |
| Lpl Financial Llc | Macon | GA | 04/2021 | Present |
1) 4/2021- Iron Oak Wealth Management - DBA for LPL Business (entity for LPL business)- Inv. Related- Macon, GA- start date 4/2021- 160hrs/mth 2) 4/2021- ALH STUDIO- Art and design - Non-Inv. Related- Macon, GA- start date 1/1/2020-1hr/mth 3) 07/15/2024 - Romance Rooftop - Real Estate Rental - Investment Related - Cortona, Italy - Start Date 07/01/2024 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-07 |
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