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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2018-05-18 |
| IA | RA | APPROVED | 2018-02-09 |
| MT | RA | APPROVED | 2017-11-29 |
| NE | RA | APPROVED | 2017-11-29 |
| SD | RA | APPROVED | 2017-11-29 |
| TX | RA | APPROVED | 2017-11-29 |
| WY | RA | APPROVED | 2017-11-29 |
Branch Locations
125 Brown County Hwy 19 S, Aberdeen, SD 57401 • United States
928 Valley View Dr Ste 18, Council Bluffs, IA 51503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America | Aberdeen | SD | 05/2013 | 11/2017 |
| Lpl Financial Llc | Aberdeen | SD | 11/2017 | Present |
1. 11/30/2017 - iRetireFinancial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/28/2017 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/27/2017 - 200 Hours Per Month. 3. 1/17/2018 - H3 Insurance LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/01/2017 - 10 Hours Per Month/0 Hours During Securities Trading. 4. 12/20/2022 - H3 Holdings - Not Investment Related - Aberdeen SD, 57401 - Farmland - Member - Start Date - 11/08/2022 - 5 Hours Per Month/0 Hours During Securities Trading 5. 01/05/2024 - Investment Center Advisors LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/2024 - 1 Hr/mo During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-25 |
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