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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2026-02-25 |
Branch Locations
300 Market Street, Williamsport, PA 17701 • United States
2675 Euclid Ave, Duboistown, PA 17702 • United States
150 Continential Blvd, Danville, PA 17821 • United States
173 Hogan Blvd, Mill Hall, PA 17751 • United States
9094 State Rte 405, Montgomery, PA 17752 • United States
550 North Derr Dr, Lewisburg, PA 17837 • United States
44 Muncy Creek Blvd, Muncy, PA 17756 • United States
1720 E Third St, Williamsport, PA 17701 • United States
115 S Main St, Jersey Shore, PA 17740 • United States
112 Bridge St, Jersey Shore, PA 17740 • United States
820 Broad St, Montoursville, PA 17754 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Watt Office Supply | Warren | PA | 01/2004 | 09/2020 |
| New York Life Insurance Company | Warren | PA | 10/2020 | 05/2025 |
| Nylife Securities Llc | Warren | PA | 01/2022 | 05/2025 |
| Northwest Bank | Jamestown | NY | 05/2025 | Present |
| Lpl Financial Llc | Jamestown | NY | 05/2025 | Present |
1. 05/02/2025- Northwest Investment Services- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) 2. 05/02/2025- Northwest Bank- Financial Institution Duty- NY 14701- Inv Rel- 160 Hrs Per Mnth- 8 Hrs During Trading- Start Date 05/05/2025
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2022-04-25 |
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