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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

AuthorityCategoryStatusDate
KY RA APPROVED 2025-07-28
OH RA APPROVED 2025-07-24
  • KY RA
    APPROVED
    Since 2025-07-28
  • OH RA
    APPROVED
    Since 2025-07-24

Branch Locations

1135 Ohio Pike, Amelia, OH 45102 • United States

11200 Kenwood Rd., Blue Ash, OH 45242 • United States

5844 Bridgetown Rd., Cincinnati, OH 45248 • United States

5935 Merchants Street, Florence, KY 41042 • United States

8763 Union Centre Blvd, West Chester Twnship, OH 45069 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Huntington National Bank Cincinnati OH 10/2017 12/2020
Five Below Cincinnati OH 06/2016 10/2017
The Huntington Investment Company Columbus OH 10/2020 12/2020
The Huntington Investment Company Columbus OH 12/2020 02/2022
The Huntington National Bank Cincinnati OH 12/2020 02/2022
The Huntington National Bank Cincinnati OH 02/2022 07/2025
The Huntington Investment Company Columbus OH 02/2022 07/2025
Lpl Financial Llc West Chester Township OH 07/2025 Present
Kemba Credit Union West Chester Township OH 07/2025 Present
Previous Registrations
Other Businesses

1)7/11/2025 - Kemba Investment Services - DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-12-09
S63 Uniform Securities Agent State Law Examination 2020-11-16
  • S65 Uniform Investment Adviser Law Examination
    2023-12-09
  • S63 Uniform Securities Agent State Law Examination
    2020-11-16
Other Names
  • Kimberly Jill Strickland
  • Kimberly Jill Pelfrey
  • Jill Fitzpatrick

View on SEC IAPD

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