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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2023-08-18 |
Branch Locations
8000 W 78Th St Ste 150, Edina, MN 55439-2543 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Edina | MN | 03/2023 | Present |
| Minnesota Department Of Health | St. Paul | MN | 05/2021 | 02/2023 |
| Minnesota Unemployment | Minneapolis | MN | 02/2021 | 05/2021 |
| Epilepsy Foundation Of Minnesota | St. Paul | MN | 02/2017 | 01/2021 |
| Private Philanthropy Services | Minneapolis | MN | 03/2014 | 01/2017 |
1)06/27/2023 - Arazon Financial Group, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/2023 - Fulltime 2)06/27/2023 - Notary - State of MN - Inv Rel - Start: 04/2023 - .01hr/month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-04 |
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