Luke Ellis

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-01-09
SC	RA	APPROVED	2021-11-19
TX	RA	APPROVED	2021-11-19

NC RA
APPROVED

Since 2025-01-09
SC RA
APPROVED

Since 2021-11-19
TX RA
APPROVED

Since 2021-11-19

Branch Locations

Austin, TX • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
University Of Florida	Gainesville	FL	08/2016	05/2020
Elefos	Ho Chi Minh City		05/2019	07/2019
Snap-On Tools	Orlando	FL	06/2014	12/2018
Axa Advisors Llc	New York	NY	05/2020	06/2020
Equitable Advisors, Llc	New York	NY	05/2020	11/2021
Lpl Financial Llc	Fort Mill	SC	11/2021	Present

08/2016 → 05/2020

University Of Florida

Gainesville, FL
05/2019 → 07/2019

Elefos

Ho Chi Minh City
06/2014 → 12/2018

Snap-On Tools

Orlando, FL
05/2020 → 06/2020

Axa Advisors Llc

New York, NY
05/2020 → 11/2021

Equitable Advisors, Llc

New York, NY
11/2021 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2021-09-02 → 2021-11-04

Equitable Advisors, Llc

Jacksonville, FL

Ocala, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-30

S66 Uniform Combined State Law Examination

2021-08-30

View on SEC IAPD