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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-30 |
| CO | RA | APPROVED | 2022-02-04 |
Branch Locations
4600 S Syracuse St Ste 964, Denver, CO 80237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 11/2012 | 06/2019 |
| Bank Of America, N.A. | Denver | CO | 06/2013 | 06/2019 |
| Lpl Financial, Llc | Parker | CO | 06/2019 | Present |
| Ryan Financial Inc | Denver | CO | 06/2019 | 01/2022 |
1. 08/20/2019 - RPM Wealth Management - Investment related - At reported business - Business Entity For Tax/Investment Purposes Only - start date:07/09/2019 - 200 hrs/mo - 7 hrs during trading. 2. 1/7/2022 - RPM Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2022 - 110 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-20 |
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