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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
529 Centre View Blvd, Crestview Hills, KY 41017 • United States
5290 Madison Pike, Ste 2, Independence, KY 41051 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kenton County Office Of The County Judge/Executive | Covington | KY | 01/2015 | 07/2021 |
| Pnc Investments | Alexandria | KY | 07/2015 | 09/2016 |
| Adecco/Radial | Walton | KY | 11/2016 | 02/2017 |
| Waddell & Reed, Inc | Fort Mitchell | KY | 04/2017 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Walton | KY | 04/2017 | 07/2021 |
| Aaron Seyfried | Fort Mitchell | KY | 04/2017 | 07/2021 |
| Unemployed | Walton | KY | 02/2017 | 04/2017 |
| Aosta Valley Subdivision Homeowners Association | Walton | KY | 05/2017 | 08/2020 |
| Unemployed | Walton | KY | 09/2016 | 11/2016 |
| Pnc | Alexandria | KY | 07/2015 | 09/2016 |
| River Cities Chapter Of Bni | Fort Thomas | KY | 08/2018 | 07/2021 |
| Lpl Financial Llc | Ft. Mitchell | KY | 07/2021 | Present |
1) 01/07/2025 - Proverbs Wealth Management - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date - 01/20/2025 - 180 Hrs/Mth - 180 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-04-24 |
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