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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
8180 Rafael Rivera Way Ste 305, Las Vegas, NV 89113 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Las Vegas | NV | 06/2016 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Las Vegas | NV | 11/2016 | 07/2021 |
| Downtown Grand/ Laz Parking | Las Vegas | NV | 06/2015 | 12/2016 |
| Spring Valley Montessori School | Las Vegas | NV | 06/2017 | 07/2021 |
| Lpl Financial Llc | Las Vegas | NV | 07/2021 | Present |
1) 06/01/2022 - Collective Advisors - Investment Related - Las Vegas, NV 89113 - Real Estate Rental - Part-owner - Start Date - 05/26/2022 - 2 Hours Per Month/ 0 Hours During Securities Trading. 2) 09/20/2022 - Cernun Wealth Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 09/09/2022 - 2 Hours Per Month/0 Hours During Securities Trading. 3) 02/15/2024 - S&A Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 2/15/2024 - 160 Hrs/Mo; 6 Hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-13 |
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