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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2022-04-18 |
Branch Locations
337 Bay 11Th Ave Flr 1 , Brooklyn , NY 11228 • United States
8220 17Th Ave, Brooklyn, NY 11214 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corp | New York | NY | 05/2015 | 08/2017 |
| Infinex Investments, Inc. | Meriden | CT | 08/2017 | 10/2019 |
| Ridgewood Savings Bank | Brooklyn | NY | 08/2017 | 10/2019 |
| Woodbury Financial Services Inc | Brooklyn | NY | 10/2019 | 04/2022 |
| Lpl Financial Llc | Brooklyn | NY | 04/2022 | Present |
1) 10/03/2022 - DBS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/29/2022 - 10 Hours Per Month/1 Hour During Securities Trading. 2) 10/03/2022 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/29/2022 - 10 Hours Per Month/1 Hour During Securities Trading. 3) 06/05/2026 - SouthHampton Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/18/2022 - 200 Hours Per Month/7 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-24 |
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