Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2022-05-23 |
Branch Locations
1854 Midland Trail, Shelbyville, KY 40065 • United States
1805 Campbell Lane, Bowling Green, KY 42104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Louisville | KY | 11/2015 | 12/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 12/2019 | 05/2022 |
| Bank Of America, N.A. | Louisville | KY | 01/2020 | 05/2022 |
| German American Bank | Shelbyville | KY | 05/2022 | Present |
| Lpl Financial | Shelbyville | KY | 05/2022 | Present |
1. 06/01/2022 - German American Investment Services Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 04/04/2024 - Ohio State Life Insurance - Non-Variable Insurance - Financial Consultant - Investment Related - At Reported Business Location(s) - Start Date 03/27/2024 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-26 |
Reach out to this advisor