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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 |
|---|---|---|---|
| RI | RA | APPROVED | 2024-05-01 |
| TX | RA | APPROVED_RES | 2024-05-01 |
Branch Locations
6 Blackstone Valley Place - Bldg 1 Suite 101, Lincoln, RI 02865 • United States
6 Blackstone Valley Pl Ste 101, Lincoln, RI 02865 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Cumberland | RI | 01/2020 | 04/2022 |
| Securities America, Inc. | Lincoln | RI | 04/2022 | 04/2024 |
| Mcadam Financial | Boston | MA | 05/2019 | 12/2020 |
| Student | Easton | MA | 08/2009 | 08/2019 |
| Securities America Advisors | Lincoln | RI | 05/2022 | 04/2024 |
| Lpl Financial Llc | Lincoln | RI | 05/2024 | Present |
1. 04/18/2024- Notary- RI 02865- 1 hr per mnth- 1 hr during trading- start date 08/11/2023 2. 04/18/2024- Lepine Financial Advisors, INC- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-30 |
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