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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 | 2025-07-10 |
Branch Locations
1289 Rt 9 Suite 3, Wappingers Falls, NY 12590 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ext Productions, Llc | Beacon | NY | 12/2001 | Present |
| The Prudential Insurance Company Of America | Paramus | NJ | 05/2016 | 10/2018 |
| Pruco Securities Llc | Paramus | NJ | 05/2016 | 10/2018 |
| Cadaret, Grant & Co., Inc. | Wappingers Falls | NY | 11/2018 | 07/2025 |
| Lpl Financial Llc | Wappingers Falls | NY | 07/2025 | Present |
1. 07/10/2025- Professional Financial Consultants- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/05/2018- 160 Hours Per Month- 160 Hours During Trading 2. 07/10/2025- EXT Productions- Business Owner- Not INV Related- Home Based- Start date 01/01/2001- 20 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-20 |
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