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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2024-04-23 |
| TX | RA | APPROVED | 2021-06-24 |
| KY | RA | APPROVED | 2021-05-13 |
Branch Locations
1201 Demonbreun St Ste 700, Nashville, TN 37203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Old National Bank | Owensboro | KY | 12/2016 | Present |
| Pnc Bank | Owensboro | KY | 05/2016 | 12/2016 |
| Lpl Financial, Llc | Owensboro | KY | 09/2020 | Present |
1) 6/7/2021 - No Business Name - Investment Related - Bryan, TX - Real Estate Rental - Started 02/25/2015 - 3 Hours Per Month/0 Hours During Securities Trading. 2) 3/30/2023 - Vizuet Enterprises - Investment Related - Bryan, TX, and Owensboro, KY - Real Estate Rental - Start Date - 02/16/2022 - 4 Hours Per Month/0 Hours During Securities Trading 3) 02/12/2024 - Old National Bank - Non-Inv Related - At Reported Business Location(s) - Financial Institution Duty - Wealth Advisor - Started: 10/5/2023 - 5 Hrs/Mo During Trading. 4) 04/02/2025 - Old National Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/02/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-04 |
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