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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 |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
| CO | RA | APP_PEND_IARCE | 2026-01-01 |
| KY | RA | APP_PEND_IARCE | 2026-01-01 |
| MN | RA | APP_PEND_IARCE | 2026-01-01 |
| WI | RA | APP_PEND_IARCE | 2026-01-01 |
| GA | RA | APPROVED | 2021-07-21 |
| IN | RA | APPROVED | 2021-07-21 |
| IA | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Matthew Ramga | Denver | CO | 01/1999 | Present |
| Bbf Partnership | Denver | CO | 04/2003 | Present |
| Waddell & Reed, Inc | Denver | CO | 01/2012 | Present |
| Various Insurance Carriers For W&R Insurance Agencies | Denver | CO | 01/2012 | Present |
| Matthew E Steinke Inc | Denver | CO | 03/2015 | Present |
| Bell Tower Property | Denver | CO | 10/2017 | Present |
| Kindling Group | Denver | CO | 02/2018 | Present |
| Tiger Print Llc | Denver | CO | 09/2019 | Present |
| Lulu Tunes Llc | Denver | CO | 01/2020 | Present |
| Lpl Financial Llc | Denver | CO | 07/2021 | Present |
1. 02/2018/Kindling Group, LLC/Business Entity For Tax/Investment Purposes Only/Investment Related/Denver, CO/0 HRS/MO 2. 09/2019/Tiger Print LLC/Real Estate Rental/Investment Related/Denver, CO/0 HRS/MO 3. 4/2003/BBF Partnership LLC/Real Estate Rental/Investment Related/Denver, CO/0 HRS/MO 4. 06/2017/Bell Tower Property/Real Estate Rental/Investment Related/Denver, CO/0 HRS/MO 5. 2018/Matthew Steinke/Kindling Financial Group/DBA for LPL Business (entity for LPL business)/Investment Related/Denver, CO/0 HRS/MO 6. 01/2020/Lulu Tunes LLC/Real Estate Rental/Investment Related/Denver, CO/0 HRS/MO 7. 03/2015/Matthew E Steinke Inc/Business Entity For Tax/Investment Purposes Only/Investment Related/Denver, CO/0 HRS/MO 8. 07/2021/Matthew Ramga/Business Owner/Investment Related/Denver, CO/0 HRS/MO 9. 1/28/2022 - Clarkson Triangle LLC - Investment Related - Denver, CO 80210 - Real Estate Rental - Start Date: 1/4/2022 - 2 Hours Per Month/0 Hours During Securities Trading. 10. 09/13/2023 - Duke De Ville Clubhouse LLC - Investment Related - Denver, CO 80211 - Real Estate Rental - Start Date: 06/29/2023 - 2 Hours Per Month/0 Hours During Securities Trading. 11. 11/20/2024 - Saint Ruler LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 10/30/2024 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-30 |
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