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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
4 Winners Circle, Albany, NY 12205 • United States
Saratoga Springs, NY • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Albany | NY | 04/2007 | Present |
1. 04/04/2007 - CAPCOM FINANCIAL SERVICES - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 50% 2. 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-17 |
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